The 2021 Investment Adviser Annual Compliance Calendar Mid-Year Update serves as a valuable resource guide when preparing, planning and updating your annual compliance program.  The Annual Compliance Calendar is intended to keep investment advisers informed of date specific and event-driven compliance reporting requirements, filing deadlines and rule references, as well as provide information on market holidays and events that may affect investment adviser business operations. The Compliance Calendar Update can be used a part of an investment adviser’s overall compliance program by tracking and recording completion of annual compliance requirements. Members also downloaded 2021 Investment Adviser Year-end Compliance Checklist.

Version/Update: V.5/June 30, 2021

Total Page Count/Format: 19/.pdf

Source/Author(s): Connexien