Reporting

20/2013 section 3
Reporting of financial information (FINREP)

FINREP
F tables
FA and FT tables

Table of reporting scope (excel)

Quarterly, Semiannually or Annually
31 March, 30 June, 30 September, 31 December

12 May, 11 August, 11 November, 11 February

26/2013 section 3
Common reporting (COREP)

COREP OF Own funds

Table of reporting scope (excel)

Quarterly
31 March, 30 June, 30 September, 31 December

12 May, 11 August, 11 November, 11 February

Regulations and guidelines 2/2023 ja 4/2023

RA Risk assessment questionnaire

Annually
31 December

28 February

20/2013 section 3
Reporting of financial information (FINREP)

FINREP
F tables
FA and FT tables

Table of reporting scope (excel)

Quarterly, Semiannually or Annually
31 March, 30 June, 30 September, 31 December

12 May, 11 August, 11 November, 11 February

Regulations and guidelines 2/2023 ja 4/2023

RA Risk assessment questionnaire

Annually
31 December

28 February

Reporting of information on fitness and propriety

Link to the FIN-FSA electronic service(in Finnish)

Management of operational risk in supervised entities of the financial sector

• section 9.1

Reporting of disruptions and faults in operations

Error report form (excel)

• section 9.2

Annual report on losses from operational risk

Damage report form (word)

On 28 February at the latest

Government Decree 208/2014

Act on Common Funds (213/2019) chapter 4 section 7

Acquisition and disposal of shares and participations in investment firms 

• Notification form for natural persons (word)
• Notification form for legal persons (word)
• Notification form for target company (word)

Note! The form for target company must always be filled in.

In advance
kirjaamo(at)finanssivalvonta.fi

Authorisations, registrations and notifications

kirjaamo(at)finanssivalvonta.fi

Outsourcing

In advance

kirjaamo(at)finanssivalvonta.fi

Submission of financial statements

• Copy of financial statements and consolidated financial statements, and of the management report
• Copy of audit report
• Copy of the minutes of the annual general meeting or of the corresponding body that dealt with the financial statements
• Financial statements of investment funds managed by the fund management company

Annually

Within two weeks from the approval of the financial statements

rahastoilmoitukset(at)finanssivalvonta.fi

Interim report

Within two months from the end of the interim period

rahastoilmoitukset(at)finanssivalvonta.fi

Auditing

Within two weeks from the submission of the report to the supervised entity

rahastoilmoitukset(at)finanssivalvonta.fi

Notification when an investment firm commences operations

rahastoilmoitukset(at)finanssivalvonta.fi

Act on Common Funds (213/2019) chapter 4 section 7.5

Government Decree on the Filing of a Notice Regarding the Acquisition and Disposal of Holdings in Credit Institutions, Investment Firms, Management Companies, Depositories, Special Depositaries, Insurance Companies, Holding Companies of Financial and Insurance Conglomerates and Alternative Investment Fund Managers

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 chapter 4 section 7 subsections 1 and 2 of the Act on Common Funds

Act on Common Funds (213/2019) chapter 24 section 1

Notification of establishing a branch for a fund management company authorized in another EEA state

Act on Common Funds (213/2019) chapter 8 section 7.2

Notification when a mutual fund commences operations

Act on Common Funds (213/2019) chapter 6 section 1.5

1/2012

Notification of outsourcing arrangements and significant changes in them.

Act on Common Funds (213/2019) chapter 8 section 8.2

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 (213/2019) chapter 2 section 10.1

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 (213/2019) chapter 5 section 3.2

Notification of the equity of a management company falling below the minimum amount provided in chapter 3 section 1

Act on Common Funds (213/2019) chapter 21 section 10

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 (213/2019) chapter 21 section 11

Notification of custody agreement made by the investment fund and any changes to such agreement

Act on Common Funds (213/2019) chapter 7 section 5

2/2016

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

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

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

Mutual fund prospect and any amendments thereof

Mistake in publication of the value of a mutual fund unit

Key Investor Information Document (KIID) and any changes to it

Notification of implementation of surrender of management of a mutual fund

Notification of implementation of a merger of mutual funds

Notification of implementation of a demerger of a mutual fund

Notification of a feeder fund or of a collective investment undertaking acting as such the funds of which are invested in a fund under its own management

Notification of a decision to terminate a mutual fund

Final settlement of a terminated mutual fund with annexes

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

Notification of establishment of a branch in an EEA member state

Notification of changes to information specified in chapter 22 section 1.1

Notification of commencement of operations as referred to in chapter 2 section 2 in the area of another country without establishing a branch

Notification of change in information under chapter 22 section 4.1 of the Act on common funds

Notification of carrying out activities referred to in chapter 2 section 2.2 in a non-EEA country without establishing a branch, and related change of information

Notification when a fund management company or a foreign EEA fund management company intends to market in the EEA home country the units of a fund it manages in Finland.

Finnish fund management companies:
kirjaamo(at)finanssivalvonta.fi
EEA fund management companies:
Ucits.Notifications(at)finanssivalvonta.fi