Spotlight on US Compliance

AIMA's spotlight on compliance includes a wide body of implentation guides and guidance. Each guide or piece of guidance relates to a specific new rule or set of rules and can be used by firms and their employees to assist them in with implementation.  

Final US Rules

Form PF Amendments

Next Compliance Date: Section 3 and non-event reporting in Sections 5 and 6 -- June 11, 2024

Pending Rules for All Managers

Pending Rules for RIAs Only

ESG for Advisers and Funds

Estimated Compliance Date for prospectuses, Form N-CEN & Form ADV: May 27, 2025 Estimated Compliance Date for shareholder reports & Form N-CSR: November 26, 2025