AIFMD Annex IV – Fund of Funds
Obligatory Alternative Investment Fund Managers (AIFMs) must provide an AIFMD Annex IV Annual Report to the NCA of their home Member State, containing information...
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Reporting Deadline
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US Form 13F Reporting Deadline
An institutional investment manager that uses the U.S. mail (or other means or instrumentality of interstate commerce) in the course of its business, and exercises investment...
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US Schedule 13G Annual Reporting Deadline
Schedules 13D and 13G are commonly referred to as a “beneficial ownership reports.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly...
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UCITS KIID Update
A key investor information document with duly revised presentation of past performance of the UCITS shall be made available no later than 35 business days after 31 December each year...
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Form PF – Large Hedge Fund Advisers
Form PF is a form that that focuses mainly on private fund reporting with regard to information such as counterparty dealings, leverage, and investment exposure...
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CPO-PQR – Large CPOs
Each CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must, using EasyFile, report to NFA or the CFTC, on a quarterly basis...
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US Form N-PORT Reporting Deadline
Form N-PORT was established by the SEC on 13 October 2016, as part of a wider plan to modernise the reporting and disclosure requirements of certain Registered Investment Companies (RIC’s)...
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US Schedule 13G Monthly Reporting Deadline
Schedules 13D and 13G are commonly referred to as a “beneficial ownership reports.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly...
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US Form N-CEN Reporting Deadline
Form N-CEN was established by the SEC on 13 October 2016, as part of a wider plan to modernise the reporting and disclosure requirements of certain Registered Investment Companies (RIC’s)...
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US Form ADV Reporting Deadline
Form ADV is the uniform form used by investment advisers to register with both the SEC and state securities authorities. The form consists of two parts, both of which are available...
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CPO-PQR – Small & Mid CPOs
Each CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must, using EasyFile, report to NFA or the CFTC, on a quarterly basis...
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US Form 13H Quarterly Reporting Deadline
Form 13H is an SEC form required under Exchange Act Rule 13h-1 as part of the SEC's large trader reporting system.