kaal:claim:2389423-013

Registered investment advisers must report systemic risk relevant information to the SEC, including trading practices, trading and investment positions, the amount of assets under management, valuation policies, and side letters.

Source quote, verbatim

Investment advisers must provide reports with respect to certain information related to systemic risk (Dodd-Frank § 404(b)(3)), such as trading practices, trading and investment positions, the amount of AUM, valuation policies, side letters

From

Wulf A. Kaal, The Impact of Dodd-Frank Act Compliance Cost on the Hedge Fund Industry (2014), Title IV and SEC Implementation, p. 6
https://ssrn.com/abstract=2389423 · source PDF

Cite as

Wulf A. Kaal, The Impact of Dodd-Frank Act Compliance Cost on the Hedge Fund Industry (2014). SSRN: https://ssrn.com/abstract=2389423

Holds when

investment advisers registered under Title IV

Classification

definitionalsupport: assertedsystemic-riskrisk-and-incentivesdisclosureprivate-funds

Verify

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Attestation record: colloquium/attestations/2e9f8e02e7e4db6f...json
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