Q1 2022 Regulatory Reporting Deadlines

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  • Compliance
  • RegTech
  • Regulatory Deadlines

Below are the regulatory filing submission deadlines occurring from January through March 2022.

Filing Name

Regulator

Submission Deadline

Schedule 13G Monthly1

SEC

Monday, January 10, 2022

Form 13H Quarterly

SEC

Monday, January 10, 2022

Form PF Liquidity Fund Quarterly

SEC

Saturday, January 15, 2022

Schedule 13G Monthly1

SEC

Thursday, February 10, 2022

Form 13F Quarterly

SEC

Monday, February 14, 2022

Form 13G Annual

SEC

Monday, February 14, 2022

Form 13H Annual

SEC

Monday, February 14, 2022

Form PF Hedge Fund Quarterly

SEC

Tuesday, March 1, 2022

Schedule 13G Monthly1

SEC

Thursday, March 10, 2022

Form ADV Annual3

SEC

Thursday, March 31, 2022

MIFIDPRU: Application for use of the Group Capital Test

FCA/ESMA

Monday, January 31, 2022

AIFMD Annex IV2

FCA/ESMA

Monday, January 31, 2022

AIFMD Annex IV - Fund of Funds2

FCA/ESMA

Tuesday, February 15, 2022

Form CTA-PR

CFTC/NFA

Monday, February 14, 2022

CPO-PQR

CFTC/NFA

Tuesday, March 1, 2022

NFA Annual Affirmation

CFTC/NFA

Tuesday, March 1, 2022

CPO Annual Report

CFTC/NFA

Thursday, March 31, 2022

1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met. 
2 Submission deadline is based upon guidelines issued by ESMA, exact date to be determined by reference to rules implemented by individual jurisdictions (in which filing obligation is owed).
3 For advisers with a December 31 fiscal year end. 

Additional resources

We've created a calendar to help you stay on track with your regulatory filings. Request our Regulatory Filings Calendar to view key regulatory filing due dates and holidays at a glance.

How we help

Financial firms must meet various regulatory filings requirements or else face potential monetary penalties and reputational damage. However, the regulatory filings process can be time-consuming and error-prone when done manually in-house.

We combine technology with managed services to provide investment advisers and broker-dealers with a cost-effective, full-service offering designed to help streamline complex reporting requirements, improve data accuracy, and reduce the operational costs related to regulatory filings.

Our experienced team of regulatory filings specialists can help your firm draft, review, and file applicable filings on your firm’s behalf. We use ACA’s proprietary regulatory reporting platform for most filings to reduce risk and increase operational efficiencies.

Learn more about our regulatory filings and other managed services here.

For more information

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