U.S. Regulatory Reporting

Date: 
August 11, 2016 - 8:00 am
Type: 
Webcast
Division: 
Investment Adviser Private Fund Investment Company FCA (UK) Authorization General

ACA Summer School is a series of complimentary webcasts targeted toward compliance professionals in the UK and Europe with an interest in learning more about the U.S. regulatory regime for SEC-registered advisors and managers, as well as those trading in U.S. markets.

Webcast Discussion Includes:

An overview of regulatory reporting required of SEC Registered Investment Advisers as well as those trading in U.S. markets including:

  • Form ADV
  • Form PF
  • Section 13 shareholder disclosures: Form 13F and 13D/G
  • Large Trader Reporting:  Form 13H
  • Section 16 Insider Reporting: Forms 3, 4, and 5