Seward & Kissel briefing: 2020 annual reminders
Seward & Kissel’s Memorandum provides a reminder of U.S. annual requirements in 2020
On 27 January 2020, Seward & Kissel, our alliance firm for hedge fund and asset management work, published a memorandum highlighting upcoming U.S. annual requirements in 2020.
Section 1 of the memorandum applies to all investment advisers, even if they are not registered with the Securities and Exchange Commission (the SEC).
Sections 2 – 4 apply to investment advisers if the requirements are relevant to their business model.
The memorandum is divided into the following sections:
- section 1 - requirements applicable to all advisers;
- section 2 - requirements applicable to SEC registered advisers and exempt reporting advisers;
- section 3 - requirements applicable to SEC Registered Advisers; and
- section 4 - requirements applicable to advisers that trade futures, commodities, certain swaps and other commodity interests.
For more information contact an attorney at Seward & Kissel, Lucian Firth, Richard Perry or Devarshi Saksena.
