MUFG Investor Services

Form PF regulatory reporting
Regulatory

 Form PF Regulatory Reporting

Introduced as part of the Dodd-Frank Act in June 2012, Form PF continues to present challenges to the US investment industry. The document was created as a means for US regulators to collect risk and exposure statistics, notably RAUM (Regulatory Assets Under Management). Depending on the size and complexity of the business affected, the process can prove a significant reporting burden.

Does this apply to you?

All investment advisors that are required to register with the SEC and have at least $150mn in private fund AuM will need to submit Form PF, meaning even EU-based managers with US subsidiaries could be caught. Typically, large private fund advisers, that is, managers with at least $1.5bn in AuM, are required to report quarterly. All other advisers will report annually.

How can MUFG Investor Services help?

Now into our third year of annual filings, MUFG has completed multiple quarterly and annual Form PF filings for RIAs (Registered Investment Advisors). We offer:

Allow us to remove the burden of preparing and filing Form PF – with MUFG the investment manager need only review and approve the answers.