Q2 2021 Regulatory Reporting Deadlines

Author

ACA Group

Publish Date

Type

Compliance Alert

Topics

  • Compliance
  • Regulatory Deadlines

Below are the regulatory filing submission deadlines occurring from April through June 2021.

Filing Name

Regulator

Submission Deadline

Schedule 13G Monthly1

SEC

Monday, April 12, 2021

Form 13H Quarterly

SEC

Monday, April 12, 2021

Form PF Liquidity Fund Quarterly

SEC

Thursday, April 15, 2021

Form PF Annual

SEC

Friday, April 30, 2021

Schedule 13G Monthly1

SEC

Monday, May 10, 2021

Form 13F Quarterly

SEC

Friday, May 14, 2021

Form PF Hedge Fund Quarterly

SEC

Sunday, May 30, 2021

Schedule 13G Monthly1

SEC

Thursday, June 10, 2021

AIFMD Annex IV2

ESMA

Friday, April 30, 2021

AIFMD Annex IV - Fund of Funds2

ESMA

Monday, May 17, 2021

Form CTA-PR

CFTC/NFA

Monday, May 17, 2021

CPO-PQR

CFTC/NFA

Tuesday, June 1, 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.

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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.

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For more information

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