Reliable Support for SEC Section 13 Forms

SEC Section 13 forms, including Forms 13D, 13F, 13G, and 13H, are critical regulatory filings for fund managers operating in the United States or marketing private funds to US investors. AddCompliance supports fund managers by preparing and submitting these forms, ensuring compliance with both scheduled and ad hoc filing requirements. Our service goes beyond preparation and submission—we also help manage compliance calendars, providing reminders and updates to ensure no reporting obligations are overlooked.

Comprehensive Section 13 Compliance

Section 13 filings can present unique challenges, particularly with the ad hoc nature of some requirements. AddCompliance provides tailored solutions to address these challenges, offering:

• Accurate Preparation and Submission: We handle the technical requirements for Forms 13D, 13F, 13G, and 13H with precision.
• Compliance Calendar Management: We help clients stay on top of irregular and ad hoc filing obligations, ensuring nothing is missed.
• On-Demand Support: Our team is available year-round to manage short-notice submissions, providing flexibility when needed most.

Whether you’re a US-based fund manager or an overseas manager marketing private funds in the US, our service ensures your Section 13 filings are managed efficiently and reliably.

Ensuring Ad Hoc Reporting Coverage

One of our clients, a fund manager with a small compliance team, struggled to ensure availability for ad hoc reporting requirements throughout the year. When unexpected obligations arose, they often lacked the resources to meet these deadlines, creating unnecessary stress and risk.

To address this, AddCompliance became an extension of their compliance team. We ensured that resources were always available to handle ad hoc submissions at short notice, guaranteeing their filings were completed accurately and on time, no matter when the obligation was triggered.