Form N-MFP requires data to be aggregated, reviewed and filed with the SEC in an XML format on the fifth business day of each month. At DFIN, we understand that creating and filing Form N-MFP can be a time-consuming process. It often requires handling numerous data sources and a variety of file formats from multiple vendors.
Form N-CEN is required to be filed annually in an XML format during a period of 75 days after the fiscal year-end for all investment management companies and calendar year-end for unit investment trusts. At DFIN, we know that creating and filing Form N-CEN can be time-consuming. It often requires handling data from multiple sources in a variety of formats.
At DFIN, we know that creating and filing Form N-PORT can be a time-consuming process. It frequently requires managing a variety of data sources in many file formats from multiple vendors. Form N-PORT also requires additional data to be reported, including information about derivatives, securities lending, portfolio risk metrics and repurchase agreements. All this data must be collected within 30 days of each month-end and filed within 60 days of each quarter-end.
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.
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. We’ve made the planning process a bit easier with our new 2024 Investment Companies Regulatory Calendar to keep you better informed and on track.
This 2024 calendar includes:
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) realized 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 January 1, 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:
Keeping track of EDGAR filing deadlines, peak periods and market holidays is always a challenge. With 2022 right around the corner, we’ve made the planning process a bit easier with our new 2022 Investment Companies Regulatory Calendar to keep you better informed and on track.
Download the 2022 Investment Companies Regulatory Calendar below to plan for upcoming deadlines and even get your team ready for 2022.