Compliance Reminders for 2022 -

Registered investment advisers to private funds clients are required to make filings with the Securities and Exchange Commission (SEC) each year and deliver certain information to their clients. In particular, registered investment advisers must:

• File their annual amendment to Form ADV by March 31, 2022 (if their fiscal year end is December 31).

• Deliver their brochure (or Form ADV Part 2) to their clients by April 30, 2022.

• If using client audited financial statements to comply with the custody rule, deliver such financial statements to clients by April 30, 2022.

• File Form PF either on April 30, 2022, or, if the investment adviser is a “large hedge fund adviser,” 60 days after the end of each quarter.

• Deliver their privacy notices if they share information or have changed their policies.

• Review their compliance policies annually.

• Review trades and holdings reports.