Reports and notifications of fund management companies

 Deadlines for reports and notifications

Reports produced with reporting IT applications (the Jakelu distribution service or data collection forms)

 20/2013 Reporting of financial information (FINREP) (Available only in Finnish and in Swedish) 

Table of reporting scope

Reporting instructions for financial information templates (FINREP)

Form; Accuracy of reported data

Form Templates on
FINREP-form
FA-form
FT-form  

26/2013 Yhteiseurooppalainen raportointi (COREP) (Available only in Finnish and in Swedish)

Form; Accuracy of reported data  

5/2014 Asset encumbrance reporting

Reporting map for asset encumbrance reporting  

Form; Accuracy of reported data  

NB! It is not possible to report information  to FIN-FSA with form templates.

Reports submitted through the TYVI Service

12/2013 Transaction reporting

Information reported on standard forms or as separate file

RA1.4 Reporting of fitness and propriety to the Financial Supervision Authority 

Fit & Proper form S3 is available on the FIN-FSA’s website

10/2013 Obligation to report on market abuse (Available only in Finnish and in Swedish)  

8/2014 Management of operational risk in supervised entities of the financial sector

Government Decree on the filing of notice regarding the acquisition and disposal of shares and participations in credit institutions, investment firms, management companies, securities depositories, special depositories, insurance companies, and holding companies of financial and insurance conglomerates and alternative investment fund managers (208/2014) (Available in Finnish and Swedish)
 Act on Common Funds 16 §

 Notification form for natural persons  
 Notification form for legal persons 
 Notification form concerning target company

Information reported in free form

3/2014 Authorisations, registrations and notifications (Available only in Finnish and in Swedish)

1/2012 Notifications for outsourcing arrangements

1/2013 Submission of financial statements (Available only in Finnish and in Swedish) 

8/2012 Auditing (Available only in Finnish and in Swedish)

 Act on Common Funds 5b.4 §

Notification when an investment firm commences operations

  Act on Common Funds 9a.3 §

Notification when a custodial institution commences operations

  Act on Common Funds 16 §

Notification, at least once a year, of names of owners of holdings and sizes of such holdings in a fund management company and its holding company as referred to in section 16, paragraph 5 of the Act on Common Funds

 Act on Common Funds 24.2 §

Notification when a mutual fund commences operations

 Act on Common Funds 27.3 §

Notification of reaching or exceeding, or falling below the limits specified in subsection 1 on minimum equity or number of unitholders in a mutual fund 

 Act on Common Funds 29a.1 §

Copy of transfer proposal and report as referred to in Article 8 (2) and (3) of the European company regulation, in the event that the management company intends to transfer its registered office to another Member State, as provided in Article 8 of the European company regulation

 Act on Common Funds 30c.2

Notification of the equity of a management company falling below the minimum amount provided in Section 6

 Act on Common Funds 32 §

Notification from a custodial institution that an order from a management company is not being observed, or other grounds for comments are observed in the operation of a management company, as referred to in Section 31.1, and the company refuses to cancel its decision or change its operating mode

 Act on Common Funds 34.2 §

Custodial agreement of a mutual fund and changes thereto

 Act on Common Funds 34a.1 §

Copy of transfer proposal and report as referred to in Article 8 (2) and (3) of the European company regulation, in the event that the custodial institution intends to transfer its registered office to another Member State, as provided in Article 8 of the European company regulation.

 Act on Common Funds 40.1 §

Annual report, semi-annual report and quarterly report of a mutual fund (only with respect to special mutual funds, Section 95) and copies of:

Auditing documents of the management company and mutual fund,
Auditor’s report of the management company and mutual fund as well as documents concerning management of the management company and mutual fund,
Minutes of the company’s shareholders’ and unitholders’ meetings,
Audit report concerning the accuracy of the NAV calculation of a mutual fund unit

 Act on Common Funds 52.1 §

Notification of a decision to halt the redemption of mutual fund units

 Act on Common Funds 80.4 §

Notification of the types of derivatives contracts used in the investment operations of a mutual fund, related risks, methods used in assessing the risks of derivatives contracts and quantitative limits

 Act on Common Funds 92.5 §

Mutual fund prospect and any amendments thereto

 Act on Common Funds 93.4 §

Simplified prospect and any amendments thereto

 Act on Common Funds 98.3 §

Mistake in publication of the value of a mutual fund unit

 Act on Common Funds 105.2 §

Notification of implementation of surrender of management of a mutual fund

 Act on Common Funds 110.1 §

Notification of implementation of a merger of mutual funds

 Act on Common Funds 115.1 §

Notification of implementation of a demerger of a mutual fund

 Act on Common Funds 119.1 §

Notification of a decision to terminate a mutual fund

 Act on Common Funds 119.3 §

Final settlement of a terminated mutual fund with annexes

 Act on Common Funds 119.5 §

Notification that the assets of a mutual fund have been divided and the mutual fund terminated

 Act on Common Funds 126a.1 §

Notification of establishment a branch in an EEA member state

 Act on Common Funds 126a.3 §

Notification of change in information under section 126a.1 of the Investment Firms Act

 Act on Common Funds 126d.1 §

Notification of commencement of operations as referred to in section 5 in the area of another country without establishing a branch  

 Act on Common Funds 126d.3 §

Notification of change in information under section 126d.1 of the Investment Firms Act

 Act on Common Funds 130.1 §

A collective investment undertaking as referred to in section 128 must submit the material listed in section 130.1 of the Investment Firms Act  

 Act on Common Funds 130.4 §

A collective investment undertaking as referred to in sections 128 and 129, must make notification of its decision to discontinue the marketing of units

 

 

 

16 November 2016

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