Compliance audit timelines extended for investment advisers, permitting additional time to complete annual audits and submit adverse findings. Timelines for Investment Advisers' annual compliance obligations under the IA Regulations are extended by three months for the financial year ending March 31, 2021: annual compliance audits to be completed by December 31, 2021; submission of adverse findings, if any, by January 31, 2022; and auditor's certificate on client level segregation to be obtained by December 31, 2021; other requirements remain unchanged.
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Compliance audit timelines extended for investment advisers, permitting additional time to complete annual audits and submit adverse findings.
Timelines for Investment Advisers' annual compliance obligations under the IA Regulations are extended by three months for the financial year ending March 31, 2021: annual compliance audits to be completed by December 31, 2021; submission of adverse findings, if any, by January 31, 2022; and auditor's certificate on client level segregation to be obtained by December 31, 2021; other requirements remain unchanged.
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