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 red flag for all regulators. We work 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 FCA, AIFMD, SEC and CFTC regulatory filings. We therefore are able to assist with the following regulatory filings:

  • Form ADV
  • Form PF
  • CFTC Form PQR
  • NFA Form PQR
  • CTA Form PR
  • Annex IV reporting under AIFMD
  • GABRIEL returns