2019 Regulatory Filings Calendar and Q1 Deadlines

December 20, 2018

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

Q1 2019 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

Frequency/
Type

Submission Deadline

AIFMD Annex IV1

ESMA

Quarterly

Wed., Jan. 30

AIFMD Annex IV - Fund of Funds1

ESMA

Quarterly

Thu., Feb. 14

CPO-PQR - Large CPOs

CFTC/NFA

Quarterly

Fri., Mar. 1

CPO-PQR - Small and Mid-size CPOs2

CFTC/NFA

Quarterly

Mon., Apr. 1

CPO Annual Report2

CFTC/NFA

Annual

Mon., Apr. 1

Form 13F Quarterly

SEC

Quarterly

Thu., Feb. 14

Form 13H Quarterly3

SEC

Quarterly

Thu., Jan. 10

Form 13H Annual3

SEC

Annual

Thu., Feb. 14

Form ADV Annual4

SEC

Annual

Sun. Mar. 31

Form CTA - PR6

CFTC/NFA

Quarterly

Thu. Feb. 14

Form PF Liquidity Fund Quarterly

SEC

Quarterly

Tues., Jan. 15

Form PF Hedge Fund Quarterly

SEC

Quarterly

Fri., Mar. 1

NFA Annual Affirmation6

CFTC/NFA

Annual

Thu. Feb. 28

Schedule 13G Annual3,5

SEC

Annual

Thu. Feb. 14

1 Submission deadline is based on ESMA, but individual jurisdictions may have an adjusted date.
2 Deadline falls on Sunday, March 31. Historically, NFA has provided an additional business day to file.
3 Not currently supported by ACA RR; filed by ACA's regulatory filings team.
4 For advisers with a December 31 fiscal year end
 
5 Schedule 13G deadlines depend on the type of adviser and may occur throughout the year as thresholds are met.
6 Not supported by ACA RR or ACA's regulatory filings team.

How ACA Can Help

  • Filing 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, 13G, 13H, the CPO-PQR, and Form ADV. Additionally, ACA offers Form PF administration services through the Analysis and Review Center (ARC) located in Pittsburgh.
     
  • Regulatory Technology for In-House Regulatory Filing: ACA Regulatory Reporting (RR) is a centralized platform for aggregating, reviewing, and submitting regulatory filings including Form PF, Form 13F, AIFMD Annex IV, and CPO-PQR.
     
  • Compliance Management Platform with Calendar: ComplianceAlpha® is a centralized platform for managing your firm’s compliance program. It includes a Microsoft® Outlook®-integrated calendar that enables you to create and track compliance tasks, as well as receive notifications when compliance activities require your attention.

For More Information

For more information, please contact acafilings@acacompliancegroup.com or your regular ACA consultant.