Q1 2023 Regulatory Reporting Deadlines

Publish Date

Type

Article

Topics

  • Regulatory Deadlines
  • Compliance

Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines occurring from January through March 2023.

Filing Name

Regulator

Submission Deadline

Form 13G Monthly1

SEC

Tuesday, January 10, 2023

Form 13H Quarterly

SEC

Tuesday, January 10, 2023

Form PF Liquidity Fund Quarterly

SEC

Sunday, January 15, 2023

Form N-MFP

SEC Monday, February 6, 2023

Form 13G Monthly1

SEC

Friday, February 10, 2023

Form 13H Annual

SEC

Tuesday, February 14, 2023

Form 13F Quarterly

SEC

Tuesday, February 14, 2023

Form 13G Annual

SEC

Tuesday, February 14, 2023

Form PF Hedge Fund Quarterly

SEC

Wednesday, March 1, 2023

Form N-PORT

SEC

Thursday, March 2, 2023

Form N-MFP SEC Monday, March 6, 2023

Form 13G Monthly1

SEC

Friday, March 10, 2023

Form N-CEN

SEC Thursday, March 16, 2023

Form ADV Annual2

SEC

Friday, March 31, 2023

AIFMD Annex IV3

FCA/ESMA

Tuesday, January 31, 2023

AIFMD Annex IV - Fund of Funds3

FCA/ESMA

Wednesday, February 15, 2023

Form CTA-PR

CFTC/NFA

Tuesday, February 14, 2023

Form CPO-PQR CFTC/NFA Wednesday, March 1, 2023

NFA Annual Exemption Affirmation4

CFTC/NFA

Wednesday, March 1, 2023

CPO Annual Report

CFTC/NFA

Friday, March 31, 2023

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).

4 Firms that claim exemptions from CPO registration under CFTC Rule 4.5 or CTFC Regulation 4.13(a)(3), or Rules 4.13(a)(1), 4.13(a)(2), 4.13(a)(5), and firms that claimed an exemption from CTA registration pursuant to CFTC Rule 4.14(a)(8), must re-affirm those exemptions annually within 60 days of the calendar year-end.

Additional resources

We've created a calendar to help you stay on track with your regulatory filings. Download our Regulatory Filings Calendar for Investment Advisers to view key regulatory reporting deadlines, on-going and annual regulatory obligations, and national holidays.

Download

How we help

Financial firms must meet various regulatory filings requirements and other obligations, or else face potential monetary penalties and reputational damage. We help our clients manage their regulatory compliance and filing requirements through our advisory, outsourcing, and technology solutions.
 
Our technology-enabled managed service provides a cost-effective, full-service offering designed to help streamline complex regulatory 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.
 
Our team can also assist with developing and maintaining your compliance manual, policies, and procedures. Additionally, our review services can look under the hood of your compliance program to ensure the policies and procedures you’ve set are up to date and appropriate for your firm.
 
Reach out to your ACA consultant or contact us here to find out how we can assist your firm with your regulatory obligations.