Investment Adviser Compliance "To Do" List for 2021 | Hardin Compliance Consulting LLC
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...
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