Q3 2017 Regulatory Reporting Deadlines

June 29, 2017

Below are the regulatory filing submission deadlines occurring from July through September 2017.

RR Module

Regulator

Frequency/Type

Report Date

Submission Deadline

AIFMD Annex IV1,2

ESMA

Quarterly

June 30

July 31

AIFMD Annex IV1,2

ESMA

Half-Yearly

June 30

July 31

AIFMD Annex IV1,2 ESMA Quarterly/Fund of Funds June 30 August 14
AIFMD Annex IV1,2 ESMA Half-Yearly/Fund of Funds June 30 August 14

CPO-PQR1

CFTC/NFA

Quarterly/Large CPOs

June 30

August 29

CPO-PQR1

CFTC/NFA

Quarterly/Small and Mid-size CPOs

June 30

August 29

Form 13F3

SEC

Quarterly

June 30

August 14

Form 13H3

SEC

Quarterly/Amendment

June 30

July 10

Form PF1

SEC

Quarterly/Liquidity Funds

June 30

July 17

Form PF1

SEC

Quarterly/Large HF Filers

June 30

August 29

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.

 

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, contact:

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

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