Compliance Deadlines - Second Quarter 2014
There are many regulatory filings and compliance forms that investment managers need to complete throughout the year. Below is a list of some of the key compliance dates for the second 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:
April 30, 2014 Form PF updated (Due by April 30th for most investment managers to private funds that file annually and manage between $150 million and $1.5 billion in RAUM).
May 15, 2014 Form 13F (For investment managers with discretion over $100 million or more in Section 13(f) securities).
Please reach out to your Sadis & Goldberg contact to discuss your specific situation.