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 [email protected] 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.

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