Q1 2018 Regulatory Reporting Deadlines

December 21, 2017

Below are the regulatory filing submission deadlines occurring from January through March 2018.

Filing Name

Regulator

Frequency/
Type

Report Date

Submission Deadline

AIFMD Annex IV1,2

ESMA

Annually

Dec. 31

Jan. 30

AIFMD Annex IV1,2

ESMA

Quarterly

Dec. 31

Jan. 30

AIFMD Annex IV1,2

ESMA

Half-Yearly

Dec. 31

Jan. 30

AIFMD Annex IV1,2

ESMA

Annually/Fund of Funds

Dec. 31

Feb. 14

AIFMD Annex IV1,2

ESMA

Quarterly/Fund of Funds

Dec. 31

Feb. 14

AIFMD Annex IV1,2

ESMA

Half-Yearly/Fund of Funds

Dec. 31

Feb. 14

CPO-PQR1

CFTC/NFA

Quarterly/
Large CPOs

Dec. 31

Mar. 1

CPO-PQR1

CFTC/NFA

Quarterly/
Small and
Mid-size CPOs

Dec. 31

Apr. 2

Form ADV

SEC

Annually

Dec. 31

Mar. 31

Form 13F1

SEC

Quarterly

Dec. 31

Feb. 14

Form 13H3,4

SEC

Quarterly/
Amendment

Dec. 31

Jan. 10

Form 13H3,4

SEC

Annually

Dec. 31

Feb. 14

Form PF1

SEC

Quarterly/
Large HF Filers

Dec. 31

Mar. 1

Form PF1

SEC

Annually/PE and HF Filers

Dec. 31

Apr. 30

Form PF1

SEC

Quarterly/
Liquidity Funds

Dec. 31

Jan. 16

1 Supported by ACA’s Regulatory Reporting (RR) software.
2 Submission deadline is based on ESMA, but individual jurisdictions may have an adjusted date.
3 Filed by ACA's regulatory filings team.
The Annual and Quarterly 13H forms can be combined if submitted by January 10, 2018.

Additional Resources

  • Recent Regulatory Reporting Updates (Blog Post) — Find out what you need to know regarding recent updates made to Form PF and AIFMD Annex IV reporting.
  • 2018 Compliance Calendar — ACA will distribute a calendar containing all regulatory reporting deadlines for 2018. Sign up here to receive the calendar when it becomes available.

About ACA Regulatory Reporting

ACA Regulatory Reporting (RR) is the single platform solution designed to help today's investment management community successfully prepare for and respond to evolving regulatory mandates. Architected to be both modular and scalable, RR is an extremely efficient, fast-to-deploy solution for Form PF, AIFMD Annex IV, CPO/PQR, and emerging regulatory reporting obligations. Investment managers can deploy the entire RR platform or select modules that apply to their current needs with the option to add others as new demands arise.

For More Information

For more information, contact:

Glen Froio
gfroio@acats.com
+1 212-951-1030

Chintan Gandhi
cgandhi@acats.com
+1 212-951-1030