Filing Deadlines, Regulatory Requirements, Fund Managers

SEC Extends Compliance Date for Form PF Amendments to October 1, 2025

Foley Hoag LLP on 6/16/2025

On June 11, 2025, the Securities and Exchange Commission (“SEC”) voted to extend the compliance date for the amendments to Form PF that were adopted on February 8, 2024. The compliance date for these amendments, which was...more

Extension of Form PF Amendments Compliance Date

Seward & Kissel LLP on 6/16/2025

On June 11th, 2025, the Securities and Exchange Commission (the “SEC”), together with the U.S. Commodity Futures Trading Commission (the “CFTC”) further extended the compliance date for the amendments to Form PF (the “Form PF...more

AIFMD Annual Report Deadline Approaching

Paul Hastings LLP on 6/5/2025

Both EU and non-EU fund managers marketing a fund in the EU or the UK (either under an EU marketing passport or the relevant national placement regimes) are required to prepare an AIFMD-compliant annual report within six...more

Fund Managers Must Assess Whether Microsoft/CrowdStrike Outage has Triggered Additional Form PF Filing

Foley Hoag LLP on 7/23/2024

The CrowdStrike computer failures that swept the globe on Friday, July 18, 2024, and persisted through the weekend may have impacted fund advisers relying on the Windows system, possibly triggering an “operations event” that...more

Reminder: Upcoming Filing Deadlines for Fund Managers

Polsinelli on 1/26/2021

With the new year comes a number of annual compliance obligations for evaluation by investment fund managers. In addition to the obligation for registered investment advisers to conduct an annual review of their compliance...more

Funds and asset management regulatory news, September 2020 # 2

Hogan Lovells on 9/15/2020

COVID-19: phased ending of FCA temporary relief extending deadlines for publishing fund reports and accounts - On 9 September 2020, the UK Financial Conduct Authority (FCA) updated its COVID-19-related webpage on...more