TAILIEUCHUNG - 2013: Important Annual Requirements for Investment Advisers

About Ernst & Young’s Global Asset Management Center The asset management industry is evolving at a deceptively fast pace. Asset managers and service providers face challenges every single day whether it’s managing business growth, mitigating risk, providing transparency or embracing regulatory scrutiny. Ernst & Young’s Global Asset Management Center brings together a worldwide team of professionals to help you achieve your potential — a team with deep technical experience in providing assurance, tax, transaction and advisory services. The Center works to anticipate market trends, identify the implications and develop points of view on relevant industry issues. Ultimately it enables us to. | SIDLEY AUSTIN LLP Sidley I JANUARY 23 2013 INVESTMENT FUNDS UPDATE 2013 Important Annual Requirements for Investment Advisers Investment advisers registered with the Securities and Exchange Commission the SEC have certain annual requirements under the Investment Advisers Act of 1940 the Advisers Act some of which also either apply to exempt reporting advisers or warrant consideration as best practices. This update reminds investment advisers about certain annual regulatory and compliance obligations including a number of significant 2013 reporting or filing deadlines. In particular in 2013 many advisers face the challenge of reporting for the first time on Form PF. This update also reminds advisers registered or required to be registered as commodity pool operators CPOs or commodity trading advisors CTAs with the Commodity Futures Trading Commission the CFTC of new requirements to report on the CFTC s Form CPO-PQR and or CTA-PR as well as National Futures Association NFA reporting requirements. This update does not purport to be a comprehensive summary of all of the compliance obligations to which advisers are subject please contact your Sidley attorney to discuss these and other requirements under the Advisers Act the Commodity Exchange Act and other regulations that may be applicable to investment advisers CPOs and or CTAs. Amendments to Form ADV Brochure Delivery to Clients Annual Updating Amendment Each registered adviser must file an annual updating amendment to its Form ADV. The annual amendment must be filed within 90 days of the adviser s fiscal year end accordingly an adviser with a December 31 2012 fiscal year end must file its annual amendment by March 31 Part 1A and Part 2A the adviser s brochure are filed electronically with the SEC via the Investment Adviser Registration Depository IARD and are publicly available. Part 2A is prepared in Adobe Portable Document Format PDF and filed as an attachment to Part 1A. Part 2B the brochure supplement is

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