Q2 2020 Regulatory Reporting Deadlines

March 31, 2020 by ACA Compliance Group


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Q2 2020 Regulatory Reporting Deadlines

Below are the regulatory filing submission deadlines for the first quarter of 2019. All filings are supported by the ACA Regulatory Reporting solution ("ACA RR") except where noted.

Filing Name

Regulator

Submission Deadline

Schedule 13G Monthly1

SEC

Friday, April 10

Form 13H Quarterly

SEC

Friday, April 10

Form PF Liquidity Fund Quarterly2

SEC

Wednesday, April 15

Form PF Annual2

SEC

Wednesday, April 29

Schedule 13G Monthly1

SEC

Monday, May 11

Form 13F Quarterly

SEC

Friday, May 15

Form PF Hedge Fund Quarterly2

SEC

Saturday, May 30

Schedule 13G Monthly1

SEC

Wednesday, June 10

AIFMD Annex IV3

ESMA

Thursday, April 30

AIFMD Annex IV - Fund of Funds

ESMA

Friday, May 15

CPO-PQR - Small and Mid-size CPOs Filing4

CFTC/NFA

Friday, May 15

Form CTA PR5

CFTC/NFA

Tuesday, June 30

CPO-PQR - Large CPOs6

CFTC/NFA

Wednesday, July 15

CPO-PQR - Small and Mid-size CPOs6

CFTC/NFA

Wednesday, July 15

1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met.
2 Advisers are unable to meet this deadline due to the effects of coronavirus (COVID-19) may rely on a temporary exemption. Find out more about this exemption here.
3 Submission deadline is based on ESMA, but individual jurisdictions may have an adjusted date.
4 Q4 2019 filing deadline has been extended to May 15, 2020. Find out more about this extension here.

5 Due to the effects of COVID-19, the NFA has extended the due date for the Q1 filing from May 15, 2020 to June 30, 2020. Find out more about this extension here.
6 Q1 filing deadline has been extended to July 15, 2020. Find out more about this extension here.

About ACA Regulatory Reporting and Filing Services

  • Regulatory Technology for In-House Regulatory Filing: ACA Regulatory Reporting (ACA RR) is a centralized platform for aggregating, reviewing, and submitting regulatory filings including Form PF, Form 13F, AIFMD Annex IV, and CPO-PQR. Coupled with support from ACA’s experienced team, ACA RR has been successfully used by firms of all sizes to more efficiently meet their regulatory reporting obligations while reducing risk and adhering to industry best practice. Request a demo here.
  • Filings Consultation and Preparation: ACA Compliance Group specializes in assisting advisers with filings through services such as Form PF consulting and review as well as preparation and filing of Form(s) 13F, 13H, Schedule 13G, the CPO-PQR, and Form ADV. Additionally, ACA offers Form PF administration services through the Analysis and Review Center (ARC). 

For More Information

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

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