Q1 2021 Regulatory Reporting Deadlines

January 8, 2021 by ACA Compliance Group


Q1 2021 Regulatory Reporting Deadlines

Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the first quarter of 2021.

 

Filing Name

Regulator

Submission Deadline

Schedule 13G Monthly1

SEC

Monday, January 11, 2021

Form 13H Quarterly

SEC

Monday, January 11, 2021

Form PF Liquidity Fund Quarterly

SEC

Friday, January 15, 2021

Schedule 13G Monthly1

SEC

Wednesday, February 10, 2021

Form 13F Quarterly

SEC

Tuesday, February 16, 2021

Form 13H Annual

SEC

Tuesday, February 16, 2021

Form 13G Annual

SEC

Tuesday, February 16, 2021

Form PF Hedge Fund Quarterly

SEC

Monday, March 01, 2021

Schedule 13G Monthly1

SEC

Wednesday, March 10, 2021

Form ADV Annual2

SEC

Wednesday, March 31, 2021

AIFMD Annex IV3

ESMA

Monday, February 01, 2021

AIFMD Annex IV - Fund of Funds3

ESMA

Monday, February 15, 2021

Form CTA PR

CFTC/NFA

Tuesday, February 15, 2021

NFA Annual Affirmation

CFTC/NFA

Monday, March 01, 2021

Form CPO-PQR

CFTC/NFA

Wednesday, March 31, 2021

CPO Annual Report

CFTC/NFA

Wednesday, March 31, 2021

1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met.
2 For advisers with a December 31 fiscal year end.
3 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).

Additional Resources

ACA Compliance Group has created a calendar to help you stay on track with your regulatory filings. Request our calendar to view key regulatory filing due dates and holidays at a glance.

Request the Calendar Here

About ACA Regulatory Reporting Solution

ACA’s Regulatory Reporting Solution combines 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.

To learn more, download our product sheet here.

For More Information

For more information, please connect with your regular ACA consultant or contact us below.

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