2021 Compliance Reminders and Calendar for Private Fund Advisers
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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
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