The SALVUS Regulatory Reporting Obligations Calendar, 2022
As the new year approaches, the Compliance team at SALVUS has updated the annual reporting obligations of Cyprus Investment Firms (CIF), Crypto-Asset Services Providers (CASP), and Alternative Investment Fund Managers (AIFM) in regard to their compliance with the Cyprus Securities and Exchange Commission (CySEC) and the Central Bank of Cyprus (CBC).
The following table presents the yearly schedule for 2022, in chronological order, of all that is to be reported, submitted, or published by CIF, CASP, and AIFM;
a) to the Cyprus Securities and Exchange Commission (CySEC),
b) to the Central Bank of Cyprus (CBC),
c) to the Investor Compensation Fund (ICF) or
d) on the entity’s website
We at SALVUS always strive to keep all of our clients up to date with their reporting obligations and upcoming changes to the legislation. Our aim is to allow you to prepare ahead of the due date of each reporting obligation.
We endeavor to keep you up to date, should the Cyprus Securities and Exchange Commission (CySEC) announce any changes or extensions on the annual reporting obligations for 2022.
Get your SALVUS Regulatory Reporting Obligations Calendar as a PDF download (last updated: October 24, 2022).
| Month | Regulatory Obligations | Submit through | Entity | Reference Period | Deadline |
|---|---|---|---|---|---|
| January | Complaints Form 144-002-01 | TRS | CIF, CASP | Dec. previous year | 5th of Jan |
| January | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Dec. previous year | 15th of Jan |
| January | Notification of Shareholders and Tied Agents | CySEC portal | CIF, CASP | Previous year | 31st of Jan |
| January | Quarterly Statistics Form QST | TRS | CIF, CASP, AIFM | Q4 previous year | 31st of Jan |
| January | Annual Sub-threshold AIFM | TRS | AIFM | Q4 previous year | 31st of Jan |
| February | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q4 previous year | 4th of Feb |
| February | Complaints Form 144-002-01 | TRS | CIF, CASP | Jan current year | 5th of Feb |
| February | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Jan current year | 15th of Feb |
| February | Quarterly Prudential Supervision Form 165-01 for Class 2 & Form 165-02 for Class 3 | TRS | CIF, CASP | Q4 previous year | 11th of Feb |
| February | Quarterly Balance Sheet, Income Statement, Trial Balance | CySEC portal | CIF, CASP | Q4 previous year | 11th of Feb |
| February | Renewal of certified persons in the CySEC public register | CySEC Website | CIF, CASP, AIFM | Current year | 28th of Feb |
| March | Complaints Form 144-002-01 | TRS | CIF, CASP | Feb current year | 5th of Mar |
| March | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Feb current year | 15th of Mar |
| March | Annual Money Laundering Compliance Officer Report | CySEC portal | CIF, CASP, AIFM | Previous year | 31st of Mar |
| March | Quarterly RTS 27 Execution Quality of Transactions | Own website | CIF | Q4 previous year | 31st of Mar |
| April | Complaints Form 144-002-01 | TRS | CIF, CASP | Mar current year | 5th of Apr |
| April | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Mar current year | 15th of Apr |
| April | Annual Compliance Function Report | CySEC portal | CIF, CASP, AIFM | Previous year | 30th of Apr, AIFM upon CySEC Request |
| April | Annual Risk Management Report | CySEC portal | CIF, CASP, AIFM | Previous year | 30th of Apr, AIFM upon CySEC Request |
| April | Annual Internal Audit Report | CySEC portal | CIF, CASP, AIFM | Previous year | 30th of Apr |
| April | Annual Audited Financial Statements | CySEC portal | CIF, CASP | Previous year | 30th of Apr |
| April | Annual Fees to CySEC Form 87-03-01 | CySEC portal | CIF, CASP | Previous year | 30th of Apr |
| April | Annual Auditor's Suitability Report | CySEC portal | CIF | Previous year | 30th of Apr |
| April | Quarterly Statistics Form QST | TRS | CIF, CASP, AIFM | Q1 current year | 30th of Apr |
| April | CIR Package - XBRL format | CBC portal | CIF, CASP | Previous year | 30th of Apr |
| April | Annual Disclosure & Market Discipline Report | Own website | CIF, CASP, AIFM | Previous year | 30th of Apr |
| April | Annual RTS 28 Execution Quality Summary Statement | Own website | CIF | Previous year | 30th of Apr |
| May | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q1 current year | 5th of May |
| May | Complaints Form 144-002-01 | TRS | CIF, CASP | Apr current year | 5th of May |
| May | Statement of Eligible Funds and Financial Instruments Form 87-07-07 and External Auditor Report Form 87-07-06 | ICF email | CIF, CASP, AIFM | Previous year | 10th of May |
| May | Quarterly Prudential Supervision Form 165-01 for Class 2 | TRS | CIF, CASP | Q1 current year | 12th of May |
| May | Quarterly Balance Sheet, Income Statement, Trial Balance | CySEC portal | CIF, CASP | Q1 current year | 12th of May |
| May | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Apr current year | 15th of May |
| May | Audited Financial Statements to the Statistics Department and Central Bank of Cyprus | CBC email | CIF, CASP, AIFM | Previous year | 17th of May |
| May | Liquidity Buffer Confirmation form 87-07-05 | ICF | CIF, CASP, AIFM | Previous year | 20th of May |
| May | External Auditor's Verification Report on Pillar III Disclosures | CySEC portal | CIF | Previous year | 31st of May |
| May | Annual Contribution fee to the National Resolution Fund | CBC email | CIF | Previous year | 31st of May |
| May | Annual Audited Disclosure & Market Discipline Report | CySEC portal | CIF | Previous year | 31st of May |
| May | Audited Prudential Supervision Form 165-01 for Class 2 & Form 165-02 for Class 3 | TRS | CIF, CASP | Q4 previous year | 31st of May |
| June | Complaints Form 144-002-01 | TRS | CIF, CASP | May current year | 5th of Jun |
| June | CIFs will be notified for their ICF annual contribution fee | ICF email | CIF, CASP, AIFM | Previous year | 10th Jun |
| June | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | May current year | 15th of Jun |
| June | Risk Based Supervision Framework (RBS-F) | TRS | CIF, CASP, AIFM | Previous year | 18th of Jun |
| June | Common Reporting Standards (CRS) Reporting | Ariadni TAX | CIF, CASP, AIFM | Previous year | 30th of Jun |
| June | Foreign Account Tax Compliance Act (FATCA) Reporting | Ariadni TAX | CIF, CASP, AIFM | Previous year | 30th of Jun |
| June | Quarterly RTS 27 Execution Quality of Transactions | Own website | CIF | Q1 current year | 30th of Jun |
| June | Internal Capital Adequacy Assessment Process (ICAAP) | CySEC | CIF, CASP | Previous year | Upon CySEC Request |
| June | Prudential Supervision Information Form 165-03 | TRS | CIF, CASP | Previous year | 30th of Jun |
| June | Annual Audit Report, Financial Statements & Remuneration | TRS | AIFM | Previous year | 30th of Jun |
| July | Complaints Form 144-002-01 | TRS | CIF, CASP | Jun current year | 5th of Jul |
| July | Quarterly Country Analysis Form | TRS | CIF | Q4 previous year | 8th of Jul |
| July | Quarterly Country Analysis Form | TRS | CIF | Q1 current year | 8th of Jul |
| July | ICF Annual contribution fee (if a discount applies) | ICF email | CIF, CASP, AIFM | Previous year | 10th of Jul |
| July | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Jun current year | 15th of Jul |
| July | Quarterly Statistics Form QST | TRS | CIF, CASP, AIFM | Q2 current year | 31st of Jul |
| August | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q2 current year | 4th of Aug |
| August | Complaints Form 144-002-01 | TRS | CIF, CASP | Jul current year | 5th of Aug |
| August | ICF Annual contribution fee (if no discount applies) | ICF email | CIF, CASP, AIFM | Previous year | 10th of Aug |
| August | Quarterly Prudential Supervision Form 165-01 for Class 2 | TRS | CIF, CASP | Q2 current year | 11th of Aug |
| August | Quarterly Country Analysis Form | TRS | CIF | Q2 current year | 11th of Aug |
| August | Quarterly Balance Sheet, Income Statement, Trial Balance | CySEC portal | CIF, CASP | Q2 current year | 11th of Aug |
| August | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Jul current year | 15th of Aug |
| August | Half-Yearly Audit Report, Financial Statements & Remuneration | TRS | AIFM | 6 months current year | 31st of Aug |
| September | Complaints Form 144-002-01 | TRS | CIF, CASP | Aug current year | 5th of Sep |
| September | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Aug current year | 15th of Sep |
| September | Recovery and Resolution Form 20-01 | CySEC email | CIF | Previous year | 30th of Sep |
| September | Quarterly RTS 27 Execution Quality of Transactions | Own website | CIF | Q2 current year | 30th of Sep |
| October | Complaints Form 144-002-01 | TRS | CIF, CASP | Sep current year | 5th of Oct |
| October | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Sep current year | 15th of Oct |
| October | Quarterly Statistics Form QST | TRS | CIF, CASP, AIFM | Q3 current year | 31st of Oct |
| November | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q3 current year | 4th of Nov |
| November | Complaints Form 144-002-01 | TRS | CIF, CASP | Oct current year | 5th of Nov |
| November | Quarterly Country Analysis Form | TRS | CIF | Q3 current year | 11th of Nov |
| November | Quarterly Prudential Supervision Form 165-01 for Class 2 | TRS | CIF, CASP | Q3 current year | 11th of Nov |
| November | Quarterly Balance Sheet, Income Statement, Trial Balance | CySEC portal | CIF, CASP | Q3 current year | 11th of Nov |
| November | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Oct current year | 15th of Nov |
| December | Complaints Form 144-002-01 | TRS | CIF, CASP | Nov current year | 5th of Dec |
| December | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Nov current year | 15th of Dec |
| December | Quarterly RTS 27 Execution Quality of Transactions | Own website | CIF | Q3 current year | 31th of Dec |
| December | Annual Contribution for AIFMs | CySEC portal | AIFM | Current year | 31th of Dec |
If you are interested in learning more, require assistance or have questions on any of the items in the Regulatory Reporting Obligations Calendar for 2022, please contact us at info@salvusfunds.com.
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The information provided in this article is for general information purposes only. You should always seek professional advice suitable to your needs.