Click here to access the replay

The SEC’s new event reporting requirements for certain registered investment advisers comes into effect on December 11, 2023.  

Leading up to that date, registered investment advisers will need to consider whether they are in scope or could soon be in scope.  If they are, those advisers will need to consider taking some preparatory steps in advance in order to achieve compliance. Given the short reporting periods, the complexity of the reporting thresholds and the short compliance period, timely compliance with the SEC’s new event reporting requirements will pose a challenge for many advisers.

To assist affected members, AIMA, with the assistance of sponsoring partners Citco group of companies (Citco) and K&L Gates LLP, has prepared an implementation guide discussing the requirements, suggesting some potential preparatory steps and answering some potential questions about how to approach some of the questions.

Please join us for a panel discussion regarding the new requirements and some of the associated challenges posed. This conversation is designed to prepare registered investment advisers to face the quick fire and potentially painful new sections of Form PF for large hedge fund event reporting and additional new questions for private equity funds.

Our panel of speakers include:

• Jennifer Wood, AIMA’s Global Head of Asset Management Regulation and Sound Practice;
• Christopher Simcox, Citco’s Executive Vice President Financial Statement and Regulatory Reporting;
• Matthew Brady, Citco’s Senior Vice President Financial Statement and Regulatory Reporting;
• Pádraig Murphy, Citco’s Senior Vice President Financial Statement and Regulatory Reporting;
• Pablo Man, Partner at K&L Gates LLP;
• Ruth Delaney, Partner at K&L Gates LLP.