7d. IA/PF – Addressing New & Complex Regulatory Filings (Intermediate)

This panel will discuss the various regulatory filing requirements for investment advisers and private fund managers, including the complex Form N-PX and the new Form SHO filings (Form 13f-2) and amendments to Form PF.   The session will cover essential timely filings that may apply, strategies for effective monitoring and best practices for maintaining up-to-date policies and procedures.  This session is open to regulators but closed to members of the press.

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