April 7, 2020
Important Upcoming Deadlines for SEC Registered Investment Advisers
WHAT IS HAPPENING?
There are several key deadlines for SEC registered investment advisers in the coming weeks, including form distribution and filings and annual reviews for many. If your firm or fund’s fiscal year ended on 12/31/2019, some dates to keep in mind are as follows:
WHAT DOES THIS MEAN FOR ME?
The SEC has issued regulatory relief to provide deadline extensions for COVID-19 affected advisers. Some advisers have accepted relief and will be meeting the extended deadlines instead. It is possible the above items will be impacted by future regulatory relief actions; if this is the case, Fairview will notify you of any changes.
Fairview is continuing to conduct annual reviews and testing for its clients and can assist with data collection, upon request. At this time, the SEC has not issued any relief for delayed annual reviews.
We are committed to remaining fully operational and meeting all normal filing deadlines during this time. Fairview is available to answer questions about upcoming deadlines and how recently instituted regulatory relief may affect your business.