The Investment Firms Regulatory Reporting Obligations Calendar
March is the month where the previous year’s audit takes place and marks the beginning of submitting the annual reports as required by the regulator. In the table below, we put together the yearly schedule in chronological order of all the reports to be submitted by Investment Firms.
| Month | Regulatory Obligations Deadlines | Deadline |
|
January
|
Regulated Entities Contact Details Form RECD | 5th of Jan |
| Quarterly Statistics Form QST-CIF | 31st of Jan | |
| February | Quarterly Capital Adequacy Ratio (CAR) Forms 144-14-06.1, 144-14-07, 144-14-08.1, 144-14-08.2, 144-14-08.3, 144-14-09 |
11th of Feb |
|
March
|
Annual AMLCO Report | 31st of Mar |
| Statement of Eligible Funds and Financial Instruments to the ICF |
31st of Mar | |
| Quarterly RTS 27 Execution Quality of Transactions | 31st of Mar | |
|
April
|
Annual Compliance Function Report | 30th of Apr |
| Annual Risk Management Report | 30th of Apr | |
| Annual Internal Audit Report | 30th of Apr | |
| Annual Audited Financial Statements | 30th of Apr | |
| Annual Fees Form 87-03-01 | 30th of Apr | |
| Annual Auditor’s Suitability Report | 30th of Apr | |
| Annual Disclosure & Market Discipline Report | 30th of Apr | |
| Quarterly Statistics Form QST-CIF | 30th of Apr | |
| Annual RTS 28 Execution Quality Summary Statement | 30th of Apr | |
|
May
|
Quarterly Capital Adequacy Ratio (CAR) Forms 144-14-06.1, 144-14-07, 144-14-08.1, 144-14-08.2, 144-14-08.3, 144-14-09 |
12th of May |
| Audited Financial Statements to the Statistics Department and Central Bank of Cyprus | 15th of May | |
| External Auditor’s Verification Report on Pillar III Disclosures | 31st of May | |
| Annual Audited Disclosure & Market Discipline Report | 31st of May | |
| Quarterly Capital Adequacy Ratio (CAR) Forms 144-14-06.1, 144-14-07, 144-14-08.1, 144-14-08.2, 144-14-08.3, 144-14-09 based on the Audited Financial Statements |
31st of May | |
|
June
|
Common Reporting Standards (CRS) Reporting | 30th of Jun |
| Foreign Account Tax Compliance Act (FATCA) Reporting | 30th of Jun | |
| Audited Statement of Eligible Funds | 30th of Jun | |
| Quarterly RTS 27 Execution Quality of Transactions | 30th of Jun | |
|
July
|
Regulated Entities Contact Details Form RECD | 5th of Jul |
| Quarterly Statistics Form QST-CIF | 31st of Jul | |
| August | Quarterly Capital Adequacy Ratio (CAR) Forms 144-14-06.1, 144-14-07, 144-14-08.1, 144-14-08.2, 144-14-08.3, 144-14-09 |
11th of Aug |
| September | Quarterly RTS 27 Execution Quality of Transactions | 30th of Sep |
| October | Quarterly Statistics Form QST-CIF | 31st of Oct |
| November | Quarterly Capital Adequacy Ratio (CAR) Forms 144-14-06.1, 144-14-07, 144-14-08.1, 144-14-08.2, 144-14-08.3, 144-14-09 |
11th of Nov |
| December | Quarterly RTS 27 Execution Quality of Transactions | 31th of Dec |
Please note that the Complaints Form 144-002-01, and the AML Monthly Prevention Statement Form 144-08-11, are not included in the calendar table. Their submission is recurring on the 5th and 15th of every month, respectively.
Additionally, as per the recent Circular 298, firms must submit the Regulated Entities Contact Details (Form RECD) every 6 months, with the first submission due on the 6th of March 2019.
In our next set of articles, we will provide useful compliance tips for your preparation to meet the reporting obligations especially focusing on the;
– Annual AMLCO report,
– Annual Compliance Function report,
– Annual Risk Management report,
– Annual Disclosure & Market Discipline report.
Please feel free to contact us at info@salvusfunds.com if you have any questions.
The information provided in this article is for general information purposes only. You should always seek professional advice suitable to your needs.
