# kaal:claim:2150377-015

**Claim.** Mandated disclosure does not automatically produce usable public data: although Form ADV requires advisers to disclose chief compliance officer contact information, the SEC dataset omitted it and contained no e-mail addresses, so researchers could not reach the officers responsible for compliance.

**Type.** failure  **Support.** evidenced

**Holds when.**

- the IARD dataset and filed Form ADVs as of 2012

**Source quote.**

> Although Form ADV requires advisers to disclose the contact information for their chief compliance officer, the dataset provided by the SEC did not list this information and did not include e-mail addresses.

**From.** Wulf A. Kaal, *Hedge Fund Manager Registration Under the Dodd-Frank Act* (2012), B. Sample Size and Sampling Constraints

**Cite as.** Wulf A. Kaal, Hedge Fund Manager Registration Under the Dodd-Frank Act (2012). SSRN: https://ssrn.com/abstract=2150377

**Verify.** sha256 of source PDF `0b58bb409cac7674d78515f5374096f9a349de3bbd1983c990e0edc85a635a09` at https://raw.githubusercontent.com/wulfkaal/Academic-Papers/main/papers/pdf/Kaal%20-%202012%20-%20Hedge%20Fund%20Manager%20Registration%20Under%20the%20Dodd-Frank%20Act.pdf

**Failure mode.** mandated-disclosure-not-publicly-accessible  (family: disclosure-ineffectiveness)

**Topics.** private-funds, disclosure, empirical-evidence, research-methods

**Keywords.** form-adv, iard, data-availability, mandated-disclosure, survey-methodology

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