NFA Compliance Rule 2-46 requires CTAs to file NFA Form PR on a quarterly basis within 45 days of the calendar quarters ended March, June and September and a year-end report within 45 days of the calendar year end. Under CFTC Regulation 4.27, all CTAs that direct trading of commodity interests are required to file…
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...
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...
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...
The alternative monthly reporting (AMR) system exists for certain types of entities who qualify as an "eligible institutional investor" (as defined in NI 62-103). Generally, an eligible institutional investor is required to file an AMR report within 10 days of the end of the month when any of the follow occurs: it elects to begin…
Form 13H is an SEC form required under Exchange Act Rule 13h-1 as part of the SEC's large trader reporting system.
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...
The alternative monthly reporting (AMR) system exists for certain types of entities who qualify as an "eligible institutional investor" (as defined in NI 62-103). Generally, an eligible institutional investor is required to file an AMR report within 10 days of the end of the month when any of the follow occurs: it elects to begin…
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...
Article 37 of the EU Money Market Fund Regulation requires managers to report certain information for each MMF that it manages to the relevant National Competent Authority (NCA)...
Obligatory Alternative Investment Fund Managers (AIFMs) must provide an AIFMD Annex IV Annual Report to the NCA of their home Member State, containing information...
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...
