E-services
Available FIN-FSA e-services
- Necessary mandate theme: Reporting of managers' transactions
Notifications to register of prospectuses (in Finnish)
- Notifications to the FIN-FSA’s register of prospectuses (approved prospectuses, supplements to prospectuses, and final terms and conditions)
Fit & Proper notifications (in Finnish)
- Notifications on the fitness and propriety of the management and persons responsible for key functions of the FIN-FSA’s supervised entities (banks, investment firms, fund management companies and alternative fund managers)
- Necessary mandate theme: Reporting on fit and proper assessments by personnel in the financial sector
- Necessary mandate theme: Reporting disruptions in financial sector operations
Customer complaints notifications (in Finnish): reporting to the FIN-FSA of the number of customer complaints received by supervised entities
- three forms for different sectors: banking services, insurance services and investment services
- scope of reporting, reporting periods and deadlines can be found in the e-services link above
- reporting is a recurring obligation – at the end of each reporting period, the system creates a form template for reporting the period just ended by the deadline
- Necessary mandate theme: Reporting on customer complaints in the financial sector
Tied agent notifications (in Finnish): notification of tied agents used in investment services to the FIN-FSA’s Register of Tied Agents
- the information to be reported is: new tied agents, changes concerning tied agents and termination of contracts
- the reported information is updated in the Register of Tied Agents on the FIN-FSA’s website with a delay – after the next update action, usually within a day
- Necessary mandate theme: Reporting on the tied agent for investment services
Notification of net short positions
- Necessary mandate theme: Notification of short positions
Public disclosure and the delay of disclosure of inside information
- Necessary mandate theme: Notification of delayed disclosure of inside information
Error and omission notifications in transaction reporting
- Necessary mandate theme: Transaction reporting
Notification of owners and the size of holdings (notification of holdings)
- Necessary mandate theme: Reporting of data on securities holdings in the financial sector