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Alternative Monthly Reporting (AMR) Deadline

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…

UK FCA Derivatives Use Report

UK authorised fund managers or UK management companies of an EEA UCITS scheme are required to complete returns to the FCA providing data on the use of derivatives in UCITS schemes. COLL 6.12.3R(2) requires an authorised fund manager or a UK UCITS management company of an EEA UCITS scheme to report at least annually on…

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...