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 programs, certain filings may be required over the course of the next few months. The chart below is not comprehensive and certain fund managers may have additional filing requirements. For example, commodity pool operators and commodity trading advisors registered with the National Futures Association may have additional filing requirements, and managers with ongoing fund offerings need to amend Form D annually, based on the date of the initial filing. Further, as noted below certain annual filings are based on fiscal year end rather than calendar year end.
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