| QUESTION | FUNDS-AXIS COMMENTS |
|---|---|
| Mandatory or optional | Mandatory fields |
| How are blanks treated | Zeros must be populated in the XML to avoid errors. |
A: Funds-Axis Notes
B: Extract from SEC paper version of form
C: Question – Specific FAQs from SEC Form PF FAQs
Q. 3.1: Question 3 asks for a breakdown of my regulatory assets under management and net assets under management. If I manage a registered investment company (i.e., not a private fund), do I need to include the regulatory assets under management that I manage for it in response to Question 3?
A. 3.1: Yes. All of your regulatory assets under management should be accounted for in Question 3. If certain regulatory assets under management are not attributable to the entities enumerated in 3(a)-(g), then such assets should be reported in 3(h) (“Funds and accounts other than private funds”). (Posted January 18, 2017)
D: Extracts from XML spec
