The SALVUS Regulatory Reporting Obligations Calendar™ – 2023
Every year, the Regulatory Compliance team at SALVUS updates the annual SALVUS Regulatory Reporting Obligations CalendarTM. We have been creating the go-to annual calendar containing the regulatory reporting obligations that regulated entities in Cyprus must meet to achieve compliance with the Cyprus Securities and Exchange Commission (CySEC) and the Central Bank of Cyprus (CBC). This started in 2019 and it has since been established as the single point of reference for all professionals in the investment and crypto-asset services industry in Cyprus.
We remain committed to providing all the additional required assistance on any of the regulatory reporting obligations and our Regulatory Compliance team is at your disposal.
The SALVUS Regulatory Reporting Obligations CalendarTM for 2023 helps all regulated entities such as Cyprus Investment Firms (CIF), Crypto-Asset Services Providers (CASP), and Alternative Investment Fund Managers (AIFM) keep track of CySEC and CBC deadlines for their regulatory reporting obligations. The table below presents the reporting obligations in chronological order that CIF, CASP and AIFM need to submit:
a) to CySEC,
b) to CBC,
c) to the Investor Compensation Fund (ICF) or
d) on the regulated entity’s website.
The team at SALVUS is committed to helping all our clients successfully achieve regulatory compliance with CySEC and the CBC by ensuring the complete and timely submissions of their reporting obligations.
We endeavour to keep you up to date, should CySEC announce any changes or extensions on the annual reporting obligations for 2023.
Get your SALVUS Regulatory Reporting Obligations CalendarTM for 2023 as a PDF download (last updated: September 18, 2023)
| Month | Regulatory Obligations | Submit through | Obliged entity | Reference period | Deadlines |
|---|---|---|---|---|---|
| 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 | Cross Border Activity Form CBRT | TRS | CIF | Previous year | 27th 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 | Complaints Form 144-002-01 | TRS | CIF, CASP | Jan current year | 5th of Feb |
| February | Annual Prudential Supervision Form 165-02 for Class 3 | TRS | CIF75 | Q4 previous year | 11th of Feb |
| February | Quarterly Prudential Supervision Form 165-01 for Class 2 | TRS | CIF150, CIF750, 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 | Quarterly Country Analysis Form CA | TRS | CIF | Q4 previous year | 13th of Feb |
| February | AML Monthly Prevention Statement Form 144-08-11 | CySEC portal | CIF, CASP, AIFM | Jan current year | 15th of Feb |
| February | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q4 previous year | 20th of Feb, upon CBC request |
| 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 | CIF750 | 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 | 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 | CIF750 | 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 | 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 | CIF150, CIF750, 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 | Quarterly Country Analysis Form CA | TRS | CIF | 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 | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q1 current year | 24th of May, upon CBC request |
| May | External Auditor's Verification Report on Pillar III Disclosures | CySEC portal | CIF | Previous year | 31st of May |
| May | Annual Audited Disclosure & Market Discipline Report | 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 | 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 | CIF 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 | CIF750 | Q1 current year | 30th of Jun |
| June | Internal Capital Adequacy Risk Assessment (ICARA) | 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 | 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 | 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 | CIF150, CIF750, CASP | Q2 current year | 11th of Aug |
| August | Quarterly Country Analysis Form CA | 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 | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q2 current year | 21st of Aug, upon CBC request |
| 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 | Quarterly RTS 27 Execution Quality of Transactions | Own website | CIF750 | 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 | Complaints Form 144-002-01 | TRS | CIF, CASP | Oct current year | 5th of Nov |
| November | Quarterly Prudential Supervision Form 165-01 for Class 2 | TRS | CIF150, CIF750, 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 | Quarterly Country Analysis Form CA | TRS | CIF | 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 |
| November | Quarterly Survey QSEFI-QRVS | CBC portal | CIF | Q3 current year | 17th 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 | CIF750 | Q3 current year | 31th of Dec |
| December | Annual Contribution for AIFM | CySEC portal | AIFM | Current year | 31th of Dec |
If you are interested in learning more, require assistance or have questions on any of the regulatory reporting obligations within the SALVUS Regulatory Reporting Obligations CalendarTM for 2023, 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.