April 11, 2024 Webinar
11:30am – 12:30pm ET
Register here.
Although Form 13F filing requirements have been in existence for decades, the SEC and its staff have recently turned up the heat on compliance in this area, and 13F filers also must prepare for new Form N-PX filing obligations. Join Mayer Brown panelists, Jennifer Carlson, Leslie Cruz, and Adam Kanter for an in-depth discussion about these requirements, including:
- What are the basic requirements?
- Where are the potential pitfalls?
- How should managers navigate these requirements within complex organizations, or when other managers are also involved in providing advice to an account (e.g., sub-advisory relationships; multi-manager arrangements; and model managers)?
- What should managers be doing in light of the SEC’s heightened regulatory focus on Form 13F filings?