Q4 2020 Regulatory Reporting Deadlines
Investment advisers must meet various regulatory filings requirements throughout the year. Below are the regulatory filing submission deadlines for the fourth quarter of 2020.
Filing Name | Regulator | Submission Deadline |
Schedule 13G Monthly1 | SEC | Tuesday, October 13, 2020 |
Form 13H Quarterly | SEC | Tuesday, October 13, 2020 |
Form PF Liquidity Fund Quarterly | SEC | Thursday, October 15, 2020 |
Schedule 13G Monthly1 | SEC | Tuesday, November 10, 2020 |
Form 13F Quarterly | SEC | Monday, November 16, 2020 |
Form PF Hedge Fund Quarterly | SEC | Sunday, November 29, 2020 |
Schedule 13G Monthly1 | SEC | Thursday, December 10, 2020 |
AIFMD Annex IV2 | ESMA | Friday, October 30, 2020 |
AIFMD Annex IV - Fund of Funds | ESMA | Monday, November 16, 2020 |
Form CTA PR | CFTC/NFA | Monday, November 16, 2020 |
CPO-PQR - Large CPOs | CFTC/NFA | Monday, November 30, 2020 |
CPO-PQR - Small and Mid-size CPOs | CFTC/NFA | Monday, November 30, 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 upon guidelines issued by ESMA, exact date to be determined by reference to rules implemented by individual jurisdictions (in which filing obligation is owed).
About ACA's 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.
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