Q4 2017 Regulatory Reporting Deadlines

September 28, 2017

Below are the regulatory filing submission deadlines occurring from October through December 2017.

Filing NameRegulatorFrequency/ TypeReport DateSubmission Deadline
AIFMD Annex IV1,2ESMAQuarterlySept. 30Oct. 30
AIFMD Annex IV1,2ESMAQuarterly/ Fund of FundsSept. 30Nov. 14
CPO-PQR1CFTC/NFAQuarterly/ Large CPOsSept. 30Nov. 29
CPO-PQR1CFTC/NFAQuarterly/ Small and Mid-size CPOsSept. 30Nov. 29

Form 13F3

SEC

Quarterly

Sept. 30

Nov. 14

Form 13H3

SEC

Quarterly/
Amendment

Sept. 30

Oct. 10

Form PF1

SEC

Quarterly/
Liquidity Funds

Sept. 30

Oct. 16

Form PF1

SEC

Quarterly/
Large HF Filers

Sept. 30

Nov. 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