Compliance Deadlines - First Quarter 2014
There are many regulatory filings and compliance forms that fund managers need to complete throughout the year. Below is a list of some of the key compliance dates for the first quarter of 2014. Please note that this is general advice that is applicable to most investment advisers with a December 31st fiscal year end. This list is not exhaustive. Fund managers must consider the following key compliance tasks and dates:
February 14, 2014 Form 13H updates Form 13F filings
March 3, 2014 CFTC 4.13(a)(3) affirmations
March 31, 2014 Form ADV updates
April 30, 2014 Form PF updates (Due by April 30th for most advisers)
Please reach out to your Sadis & Goldberg contact to discuss your specific situation.