Form PF Filing Due
Quarterly Form PF filing due in 5 days. Review and submit before deadline.
Compliance Score
98.2%
+0.5% this month
Open Violations
3
-2 from last week
Pending Reviews
12
Due this week
Reports Filed
24
This quarter
Upcoming Compliance Deadlines
Form PF Filing
Due: December 25, 2024 (5 days)
Monthly Compliance Review
Due: December 31, 2024 (11 days)
Anti-Money Laundering Training
Due: January 15, 2025 (26 days)
Recent Compliance Activity
Form ADV Amendment Filed
Successfully submitted annual amendment to Form ADV with material changes to investment strategies.
2 hours ago
Trade Surveillance Alert Resolved
Unusual trading pattern in AAPL positions investigated and cleared by compliance team.
5 hours ago
Training Module Completed
15 employees completed mandatory cybersecurity awareness training ahead of deadline.
1 day ago
Surveillance Parameters
Active Surveillance Alerts
| Time |
Security |
Alert Type |
Severity |
Action |
Regulatory Reports
Form ADV
Investment adviser registration and disclosure
Annual filing • Last filed: March 2024
Current
Form PF
Private fund systemic risk reporting
Quarterly filing • Due: Dec 25, 2024
Due Soon
CFTC Form CPO-PQR
Commodity pool operator quarterly report
Quarterly filing • Last filed: Sep 2024
Filed
Form 13F
Institutional holdings disclosure
Quarterly filing • Last filed: Nov 2024
Filed
FINRA Reports
OATS, TRACE, and other FINRA filings
Daily/Monthly • Automated
Automated
Filing Status Overview
This Quarter Filed
8/10
Pending Review
2
Automated Reports
15
Policy Categories
Showing 24 of 24 policies
Audit Filters
Audit Trail
| Timestamp |
User |
Event |
Details |
IP Address |
Severity |
Showing 50 of 1,247 events
Training Overview
Completed
23/25
In Progress
2/25
Overdue
0/25
Upcoming Deadlines
AML Training
15 days
Cybersecurity
45 days
Training Modules