Compliance Corner Q4‑2020: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

Hedge fund managers seem to have adapted to the new remote working environment caused by the coronavirus pandemic, although many are contemplating some form of a return to their offices. While managers are deciding whether and how to have their employees resume working in their offices, they should not forget the upcoming filing deadlines for the final quarter of 2020. This fourteenth installment of the Hedge Fund Law Report’s quarterly compliance update, written by consultants Joey Martinez, Chris Ray and Anne Wallace of ACA Compliance Group (ACA), highlights upcoming filing deadlines and reporting requirements that fund managers should be aware of during the third quarter. This article also includes information about proposed amendments to update Form 13F; recent OCIE risk alerts on credential compromise and coronavirus pandemic-related risks and challenges; a global regulatory update on environmental, social and governance investing; CFTC amendments to a regulation regarding exemptions from CPO registration; and an update on European short selling reporting requirements. For more from ACA, see our two-part series on ACA’s compliance testing survey: “Hot Topics, Compliance Programs, BCPs and the Pandemic” (Aug. 13, 2020); and “Form CRS; Anti‑Bribery and Anticorruption Controls; Cybersecurity; and Privacy” (Aug. 27, 2020).

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