2021 Compliance Reminders and Calendar for Private Fund Advisers
Registered investment advisers 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, 2021.
- Deliver their brochure (or Form ADV Part 2) to their clients by April 30, 2021.
- If using client audited financial statements to comply with the custody rule, deliver such financial statements to clients by April 30, 2021.
- File Form PF either on April 30, 2021, or, if the investment adviser is “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.
For a more complete list of compliance dates for 2021, please see the calendar below
Authors
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