US regulatory action items for investment advisers (2013)
A new year brings not only (the potential for keeping) New Year’s resolutions, but also a new set of obligations and undertakings for many investment advisers. We have outlined in Part I herein some of these obligations for exempt reporting advisers (i.e., those relying on the private fund exemption or the venture capital exemption) and, in Part II, some obligations for investment advisers that are registered with the US Securities and Exchange Commission. In Part III, we address certainrequirements and undertakings that may be relevant for any investment adviser — whether registered, filing as an exempt reporting adviser, or neither.
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For the past 10 months, the US Department of Justice and the Enforcement Division of the Securities and Exchange Commission have advised the public that they are in the process of drafting guidance for companies regarding the requirements of, and prohibitions within, the US Foreign Corrupt Practices Act.