ASSISTANCE WITH REGULATORY FILINGS

A key part of the compliance program is ensuring that all regulatory filings are completed on a correct and timely basis. Failure to do so is a massive red flag for all regulators. Optima works with many of our clients on their regulatory filings. This support varies from reviewing drafts of reports prepared by the client or their lawyer, to Optima managing the end to end process of drafting and submitting the reports. All of our specialists have vast experience in dealing with the nuances and complexities of filing regulatory reports. Our team consists of specialists in SEC, CFTC and FINRA regulatory filings as well as AIFMD reporting. We therefore are able to assist with the following regulatory filings:

  • ADV Part I and Part II(A & B)
  • Form PF
  • Form PQR
  • Form BD
  • Form PR
  • Annex IV reporting under AIFMD