UK investment managers and advisers seeking to do business in the U.S. or to attract U.S. investors may have certain U.S. Securities and Exchange Commission (SEC) registration and filing obligations. Registered Investment Advisers (RIAs) must comply with numerous SEC rules and regulations that can be difficult to navigate. Even Exempt Reporting Advisers (ERAs) must be aware of and comply with certain relevant rules and regulatory filings. Adherence to SEC rules and regulations can be onerous for firms domiciled outside of the U.S.
We are on hand to assist your firm with registering with the SEC or filing as an ERA. Our London-based team of SEC consultants can also provide ongoing support to help your firm address its SEC reporting and compliance obligations.