Fourth Quarter Compliance Deadlines

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 fourth quarter of 2023. Please note that this is general advice that is applicable to most investment advisers with a December 31^st fiscal year-end.  This list is not exhaustive and contains some best-practice compliance suggestions.
 
October 10, 2023

• Quarterly Form 13H. File this form if you had changes to your Form 13H in the third quarter of 2023.

• Quarterly Form 13F.  File this form if you are an institutional investment manager, managing securities having an aggregate fair market value of at least $100,000,000. Should include information for third quarter of 2023.

• Form CTA-PR for Commodity Trading Advisors. File with National Futures Association for the third quarter of 2023.

• Form CPO-PQR for Commodity Pool Operators. File with the National Futures Association for the third quarter of 2023.

 
 
If you have any questions about this Alert, please contact David Fitzgerald at 212.573.8428, dfitzgerald@sadis.com; Mark Strefling at 212.573.8159, mstrefling@sadis.com; or Vartika Naithani at 212.573.8148, vnaithani@sadis.com.