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April 25, 2023
Form 13H: Following an initial filing of Form 13H, all large traders must make an amended filing to correct inaccurate information promptly (within ten days) following the quarter-end...
October 8, 2021
A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.
January 27, 2021
Regulatory Deadlines for Investment Advisers Hardin Compliance Consulting compiled a list of regulatory deadlines for U.S. registered investment advisers, including advisers to private and U.S. registered mutual funds and those also registered as a CPO or CTA. This list is not intended to be exhaustive, but it should help compliance officers set up their calendars for 2021. January INVESTMENT ADVISERS Form 13H: Amendments to Form 13H are due promptly if there are any changes to information for ...