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Compliance Deadlines for Q2 2017

With Q2 2017 just a few days away, it’s important to know what regulatory filings and compliance forms may need to be completed in Q2 should you or your firm be affected.

We’ve provided a list of such filings and forms below. However, please note this is not an exhaustive list of Q2 compliance deadlines. While some may apply to a majority of investment advisors, few, perhaps none, may apply to you or your organization’s particular situation.

April 2017

  • 4/1: ERISA Schedule C of Form 5500 Disclosure
  • 4/10: Form 13H for Q1
  • 4/15: Form PF for large liquidity fund advisors
  • 4/30: annual delivery of Form ADV Part 2, audited financial statements for private funds, FATCA notification deadline, quarterly transaction reports for access persons, code of ethics and compliance manual, Form PF for annual filers

May 2017

  • 5/15: Form 13F
  • 5/30: Form PF for large hedge fund advisors, annual privacy policy notices
  • 5/31: FATCA reporting deadline

June 2017

  • 6/15: quarterly compliance training for employees
  • 6/30: PQR filing for registered commodity pool operators, Common Reporting Standard notifications

The above list does not include items due on or before the anniversary date of filing, nor does it include as necessary items like Schedule 13D and certain Sec 16 filings.

Again, this is not an exhaustive list of compliance deadlines and should be used for educational purposes only. If you have any specific questions, discuss with the proper legal and compliance professionals.

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