COMPLIANCE DEADLINES — Second Quarter 2017 There are many regulatory filings and compliance forms that investment managers need to complete throughout the year. Below is a list of some of the key com- pliance dates for the second quarter of 2017. Please note that this is general advice that is applicable to most investment advisers with a December 31st fiscal year end. This list is not exhaustive and contains some best practice compliance suggestions. DATE ACTIVITY DATE ACTIVITY April 1 ERISA Schedule C of Form 5500 Disclosure. Adviser may be June 15 Quarterly Employee Compliance Training. Conduct a quarterly required to report certain information to its ERISA plan clients employee training session to review requirements under the and investors for their use in completing Department of Labor adviser's written compliance policies and procedures, including Form 5500. the code of ethics, as well as any material changes to these — materials. Maintain list of attendance.” ui) Ane oe ae ae ee eee June 30 Form 13H. Review transactions and assess whether Form 13H or advisers that already have Form iling obligation needs to Ke amended, and have changes to any of the information reported. - - —— - a an Form PF. Review assets/holdings to determine filing requirements. Amit form ed ee Aa Scan PQR (For Registered Commodity Pool Operators). Small and und advisers mus ; ne om , Win ie bes. 9eCUr| res an mid-sized CPOs quarterly reports to be filed using NFA Easy Exchange Commission (“SEC”) on the IARD system within 15 File System. days of each fiscal quarterly end. oe eee CRS Notifications. The Cayman Islands TIA announced a Brokerage Committee Meeting. Conduct quarterly brokerage soft opening for the first year of the CRS. CRS registrations committee meeting. will be accepted up to June 30, 2017 (original deadline was April 30 Private Fund Audited Financial Statements. Distribute audited Ue financial statements to investors for any private investment fund Anniversary | Ann