Q4 2020 Regulatory Reporting Deadlines

Author

ACA Compliance Group

Publish Date

Type

Compliance Alert

Topics

  • Compliance

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).

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