Simplify your filing process. Depend on the industry leader — DFIN.

Form PF is a regulatory filing required by the SEC for investment advisers who manage private funds, hedge funds and private equity funds. To enhance transparency and oversight in the private fund sector and help regulators better monitor systemic risk, the SEC is ushering in more changes in 2025 that will make the reporting process even more challenging and time consuming.

Rely on the industry leader to streamline your CPO-PQR filing process

At DFIN, we know that creating and filing Form CPO-PQR (Commodity Pool Operators-Pool Quarterly Report) can be a time-consuming process. This process frequently requires handling various file formats and intricate data input to provide essential operational and financial information — and then it must be filed within 60 days of each quarter end (or 90 days for the 4th quarter) to remain compliant and avoid late filing fees.

Keeping track of EDGAR filing deadlines, peak periods and market holidays is always a challenge. With the new year quickly approaching, we’ve made the planning process a bit easier with our new 2023 Investment Companies Regulatory Calendar to keep you better informed and on track.

In 2017, the Financial Conduct Authority (FCA) realised through a market survey that intuitional investors were struggling to gather cost information to use in their investment decisions. To address this, the FCA issued a policy statement (PS17/20) to improve the disclosure of transaction costs in workplace defined contribution pensions. This led to the creation of the Defined Contribution Pensions Template (DCPT).

The PRIIPs KID retail investor disclosure document is due to go live in the European Union for all UCITS funds on 1 January 2023. Automation will be more critical than ever for asset managers who produce high volumes of investor disclosures as they prepare for successful implementation.

Here are some of the key areas that asset managers will need to consider.

General Data Gathering

Compared with the UCITS KIID, the PRIIPs KID implementation comes with significant data-gathering overhead. PRIIPs manufacturers need to gather:

In recent years the FinTech industry has experienced significant changes on every front, from increased regulatory requirements to growing investor expectations. In this article, Eric Johnson, DFIN’s president of Global Investment Companies, addresses the top issues facing fund and asset companies heading into 2022.

At this time last year, the outlook for 2021 was heavily influenced by the global pandemic and how FinTech companies were pivoting to meet shifting needs. How did DFIN see that play out over the last 12 months?