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May 29, 2015

SEC Issues Proposed Investment Adviser Reporting and Disclosure Rules

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In the wake of the financial crisis, the U.S. Securities and Exchange Commission adopted detailed data reporting rules for private funds on both Form ADV (2010) and Form PF (2011).  In its continuing push to gather more asset management industry data, agency officials have been hinting for months that portfolio-level reports on investment adviser separate accounts and registered investment companies would be next.  The agency now intends to close these perceived gaps through a pair of rule proposals that it announced on May 20, 2015.

View full memo, SEC Issues Proposed Investment Adviser Reporting and Disclosure Rules

Authors and Contributors

Nathan Greene

Partner

Investment Funds

+1 212 848 4668

+1 212 848 4668

New York

Thomas Majewski

Counsel

Investment Funds

+1 212 848 7182

+1 212 848 7182

New York

Lorna Xin Chen

Partner

Investment Funds

+852 2978 8001

+852 2978 8001

Hong Kong

John Adams

Partner

Investment Funds

+44 20 7655 5740

+44 20 7655 5740

London

John Reiss

Counsel

Investment Funds

+1 212 848 7669

+1 212 848 7669

New York

John (Sean) Finley

Partner

Investment Funds

+1 212 848 4346

+1 212 848 4346

New York

Laura Friedrich

Partner

Investment Funds

+1 212 848 7411

+1 212 848 7411

New York

Paul Schreiber

Of Counsel

Investment Funds

+1 212 848 8920

+1 212 848 8920

New York