Form ADV is an uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. Form ADV consists of two parts: Part 1 contains information about the adviser's business and whether they have had problems with regulators or clients. Part 2 outlines the adviser's services, fees,…
Form PF must be filled by, registered, or required to register with the SEC as an investment adviser of private funds. Large Hedge Funds must report on a Quarterly basis, within 60 days of each Quarter closing. Large Liquid Funds must report on a Quarterly basis, within 15 days of each Quarter closing. All other…
The report must be delivered within 30 business days of the 30 October - as per the FCA Handbook. The Derivatives use report must be completed by an authorised fund manager or a UK UCITS management company of an EEA UCITS scheme. Obligatory firms should report at least annually on their use of derivatives, their…
Obligatory Alternative Investment Fund Managers (AIFMs) must provide a report to the NCA of their home Member State...
Form 13F requires disclosure of: (i) the name of the institutional investment manager that files the report; and (ii) with respect...
A CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must...
Form H must be filed by a natural person who is authorized to submit it on behalf of the large trader. The Commission may...
Form PF must be filled by, registered, or required to register with the SEC as an investment adviser of private funds. Large Hedge...
Form N-CEN is to be used by all registered investment companies, other than faceamount certificate companies...
Obligatory Alternative Investment Fund Managers (AIFMs) must provide an AIFMD Annex IV Quarterly report to the NCA of their home...
Form 13H is an SEC form required under Exchange Act Rule 13h-1 as part of the SEC's large trader reporting system.
Form 13H is an SEC form required under Exchange Act Rule 13h-1 as part of the SEC's large trader reporting system.
