Stay on task using Hardin’s 2021 Compliance “To-Do” Checklists for Investment Advisers, Private Funds, and Broker-Dealers

These Checklists help you to submit regulatory filings in a timely manner.  We organized the checklists by month, for ease of reference.  Each month highlights the applicable filing deadlines.  You can track filing deadlines such as, Forms ADV, PF, 13F, and 13H, audited financial statements, FOCUS reports, renewals payments, CPO/CTA filings, Rule 4530 reports, and many more!  You can also subscribe to Compliance Navigator® and gain full access to Hardin’s library of compliance tasks.  Click “Watch Now,” above, for a demo of Compliance Navigator®.


 Investment Adviser Compliance “To-Do” List 2021


Broker-Dealer Compliance “To-Do” List 2021