REGULATORY REPORTING CALENDAR

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Open Protocol

Open Protocol Reporting Deadline

Friday, 20th September

Open Protocol Enabling Risk Aggregation (OPERA), is an open standard which all investors and managers are free to adopt. OPERA is monthly report, and should be produced and distributed 15 business days after month end. Click here for more details.

Form CPO-PQR End of Quarterly Reporting Period

Form CPO-PQR Reporting Deadline

Saturday, 28th September

A CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must, using EasyFile, report to NFA or the CFTC on a quarterly basis. The report must contain specific information about the firm and the pools that it operates. The reporting deadline is 90 calendar days for Small & Mid-size CPOs and 60 calendar days for Large CPOS. All PQR reports must be filed electronically using EasyFile. Click here for more details.

AIFMD Annex IV Reporting

AIFMD Annex IV End of Quarterly Reporting Period

Monday, 30th September

Obligatory Alternative Investment Fund Managers (AIFMs) must provide a report to the NCA of their home Member State, containing information relating to the portfolio of Alternative Investment Funds (AIFs) they manage or market in the Union. The Regulation confirms: (i) the frequency of reporting, based on the total value of assets under management of the AIFMs and (ii) in Annex IV, the type of information to be reported. If the total value of Assets Under Management (AUM) exceeds the threshold…

US 13F End of Quarterly Reporting Period

US 13F End of Quarterly Reporting Period

Monday, 30th September

Form 13F requires disclosure of: (i) the name of the institutional investment manager that files the report; and (ii) with respect to each section 13(f) security over which it exercises investment discretion, the name and class, the CUSIP number, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. Form 13F is required to be filed within 45 days of the end of a calendar quarter. Obligatory…

Form CPO-PQR End of Quarterly Reporting Period

Form CPO-PQR End of Quarterly Reporting Period

Monday, 30th September

A CPO Member that operates pools for which it has reporting obligations under Part 4 of the CFTC's regulations must, using EasyFile, report to NFA or the CFTC on a quarterly basis. The report must contain specific information about the firm and the pools that it operates. The reporting deadline is 90 calendar days for Small & Mid-size CPOs and 60 calendar days for Large CPOS. All PQR reports must be filed electronically using EasyFile. Click here for more details.

Form N-PORT

Form N-PORT Reporting Deadline

Monday, 30th September

Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof (“Fund”), other than a Fund that is regulated as a money market fund. Funds must report information about their portfolios and each of their portfolio holdings as of the last business day, or last calendar day, of the month. If the due date falls on a weekend or holiday, the filing deadline will be the…

Form N-CEN Reporting

Form N-CEN End of Reporting Period

Monday, 30th September

Form N-CEN is an annual report which should be filed pursuant to rule 30a­1 under the Act (17 CFR 270.30a-1) by registered investment companies. Form N-CEN reports should be filed no later than 75 days after the close of the fiscal year. Reports must be filed electronically using the Commission’s Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) Click here for more details.

Form ADV

Form ADV End of Reporting Period

Monday, 30th September

Form ADV is an uniform form used by investment advisers to register with both the Securities and Exchange Commission (SEC) and state securities authorities. Form ADV consists of two parts: Part 1 contains information about the adviser's business and whether they have had problems with regulators or clients. Part 2 outlines the adviser's services, fees, and strategies. Obligatory firms must file Form ADV annually, updating any amendment within 90 days after the end of the fiscal year. Click here for…

Form PF

Form PF End of Reporting Period

Monday, 30th September

Form PF must be filled by, registered, or required to register with the SEC as an investment adviser of private funds. Large Hedge Funds must report on a Quarterly basis, within 60 days of each Quarter closing. Large Liquid Funds must report on a Quarterly basis, within 15 days of each Quarter closing. All other obligatory private funds must report on annual basis, within 120 days of the calendar year closing. Click here for more details.

Open Protocol

Open Protocol Reporting Deadline

Monday, 21st October

Open Protocol Enabling Risk Aggregation (OPERA), is an open standard which all investors and managers are free to adopt. OPERA is monthly report, and should be produced and distributed 15 business days after month end. Click here for more details.

AIFMD Annex IV Reporting

AIFMD Annex IV Quarterly Reporting Deadline

Wednesday, 30th October @ 8:00 am - 5:00 pm

Obligatory Alternative Investment Fund Managers (AIFMs) must provide a report to the NCA of their home Member State, containing information relating to the portfolio of Alternative Investment Funds (AIFs) they manage or market in the Union. The Regulation confirms: (i) the frequency of reporting, based on the total value of assets under management of the AIFMs and (ii) in Annex IV, the type of information to be reported. If the total value of Assets Under Management (AUM) exceeds the threshold…

FCA Derivatives Use Reporting

UK FCA Derivatives Use End of Reporting Period

Thursday, 31st October

The report must be delivered within 30 business days of the 30 October - as per the FCA Handbook. The Derivatives use report must be completed by an authorised fund manager or a UK UCITS management company of an EEA UCITS scheme. Obligatory firms should report at least annually on their use of derivatives, their underlying risks and any relevant quantitative limits and methods for estimating risks. Click here for more details

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