Reports and notifications of investment firms

 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 seperate file

Reporting requirements related to remuneration paid by investment firms

Supervision releases  29 May 2015 - 22/2015, 7 July 2015 - 27/2015 (Available only in Finnish and in Swedish)
 Act on Investment Services (in Finnish)

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

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

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

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 Investment Services capter 7, section 14 (in Finnish)

 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)

RA1.1 Reporting of intra-group transactions

RA1.2 Acquisition of controlling interest in undertakings authorised in non-EEA-states

1/2012 Notifications for outsourcing arrangements

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

RA4.10 Reporting of related-party loans and investments (Available only in Finnish and in Swedish)

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

25/2013 Capital requirements calculation and large exposures

 Act on Investment Services chapter 7, section 2.3 (Available in only Finnish and in Swedish)

Notification of significant close links between an investment firm and other legal or natural persons, and changes in such links

 Act on Investment Services chapter 9, section 6 (Available only in Finnish and in Swedish)

The auditor of an investment firm must issue and submit to the Financial Supervisory Authority a statement on whether arrangements for safekeeping of the investment firm’s customer funds  meet the requirements laid down in regulation.

 

 

 

16 November 2016

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