Q3 2020 Regulatory Reporting Deadlines

July 10, 2020 by ACA Compliance Group


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Q3 2020 Regulatory Reporting Deadlines

Below are the regulatory filing submission deadlines for the third quarter of 2020. 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, July 10, 2020

Form 13H Quarterly

SEC

Friday, July 10, 2020

Form PF Liquidity Fund Quarterly

SEC

Wednesday, July 15, 2020

Schedule 13G Monthly1

SEC

Monday, August 10, 2020

Form 13F Quarterly

SEC

Friday, August 14, 2020

Form PF Hedge Fund Quarterly

SEC

Saturday, August 29, 2020

Schedule 13G Monthly1

SEC

Thursday, September 10, 2020

AIFMD Annex IV2

ESMA

Thursday, July 30, 2020

AIFMD Annex IV - Fund of Funds

ESMA

Friday, August 14, 2020

CPO-PQR - Small and Mid-size CPOs Filing3

CFTC/NFA

Wednesday, July 15, 2020

CPO-PQR - Large CPOs3CFTC/NFAWednesday, July 15, 2020

Form CTA PR

CFTC/NFA

Friday, August 14, 2020

CPO-PQR - Large CPOs

CFTC/NFA

Monday, August 31, 2020

CPO-PQR - Small and Mid-size CPOs

CFTC/NFA

Monday, August 31, 2020

1 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met.
2 Submission deadline is based on ESMA, but individual jurisdictions may have an adjusted date.
3 Due to the effects of COVID-19, the NFA has extended the due date for the March 31, 2020 filing. 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 practices. 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). 

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