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  1. #1

    IA brief: Determine 2015 filing deadlines before it’s too late

    It’s never too early to start planning for 2015 regulatory filing deadlines. There are deadlines applicable to all registered investment advisers and some that require a firm to determine applicability, usually based on services offered or types of investments managed by the firm.

  2. #2

    IA brief: Determine 2015 filing deadlines before it’s too late

    For example, all firms will be required to file an annual amendment or determine eligibility when it comes to 13F securities reporting and only advisers to private funds will be required to file a Form PF. Addressing them now will ensure that required filings and the deadlines associated with them will not be missed.

  3. #3

    IA brief: Determine 2015 filing deadlines before it’s too late

    All firms should have a compliance calendar or playbook that will guide the compliance department and its firms through the annual compliance program. The deadlines mentioned are those with published deadlines usually based on the firm’s fiscal year or quarter end and only one element of the calendar.

  4. #4

    IA brief: Determine 2015 filing deadlines before it’s too late

    A complete compliance calendar will also have the periodic compliance tasks that review and document the compliance program. For example, in January, many firms will distribute and collect the annual attestations from their representatives or distribute the firm’s privacy policy. These items are required on an annual basis but do not have a defined due date.

  5. #5

    IA brief: Determine 2015 filing deadlines before it’s too late

    The annual renewal program is applicable to all registered investment advisers with a recent funding deadline on December 12. The renewal program requires a firm to pay registration fees to appropriate jurisdictions for the firm and associated individuals via the Investment Adviser Registration Depository (IARD).However, if there are any changes to the firm’s roster after November 8th and before the closure of the IARD system on the 27th the firm will still have funds due. The final renewal statement will reflect the funds due and will be available for viewing on January 2.

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