Stay updated with breaking news from Brochure Supplements. Get real-time updates on events, politics, business, and more. Visit us for reliable news and exclusive interviews.
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...
A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.
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 Form 13H Filers. The SEC’s “Frequently Asked Questions Concerning Large Trader Reporting,” res...