Q4 2021 Regulatory Reporting Deadlines

Below are the regulatory filing submission deadlines occurring from October through December 2021.

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).

Additional resources

We've created a calendar to help you stay on track with your regulatory filings. Request our Regulatory Filings Calendar to view key regulatory filing due dates and holidays at a glance.

About our Regulatory Reporting Solution

Our 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 our proprietary regulatory reporting platform for most filings to reduce risk and increase operational efficiencies.

To learn more, download our product sheet here

For more information

For more information, contact your regular ACA Consultant or contact us here.