Client Alert

On May 20, 2015, the Securities and Exchange Commission proposed changes to certain aspects of the reporting, disclosure, and recordkeeping obligations of registered investment advisers. As we indicated in our initial Client Alert on the proposal available here, the SEC is seeking to modernize and enhance the reporting and disclosure of information by registered investment advisers and investment companies in an effort to enhance the quality of information available to investors and allow the SEC to more effectively collect and use data in their oversight of the asset management industry. This Client Alert summarizes the proposed changes regarding investment advisers and a copy of the proposal is available here. A Client Alert on the disclosure and reporting proposals for registered investment companies is available here.

Related Practices

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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