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SEC Amendments to 13F

Regulatory InsightsBy Trevor Dempster 28 June 2022

On 23rd June 2022, the Securities and Exchange Commission (SEC) adopted amendments to modernize Form 13F and enhance the information provided. The amendments are intended to promote efficiency, transparency, and operational resiliency by modernizing how information is filed or submitted to the Commission and disclosed to the public.

Will you still be in scope for 13F Reporting?

Regulatory Insights, Regulatory ReportingBy Trevor Dempster 21 August 2020

Last Friday (14th August) was the Q2 filing deadline for 13F reporting. But how many more filings will you have to make? Last month, the SEC announced proposed amendments to 13F Reporting, to update the reporting threshold for institutional investment managers, as well as a number of other ancillary changes. Below we detail some of these amendments.