Q1 2023 Regulatory Reporting Deadlines

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