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

5/2021

IFCLASS2
Prudential reporting for investment firms

Table of reporting scope (excel)

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

12 May, 11 August, 11 November, 11 February

5/2021

IFCLASS3
Prudential reporting for investment firms

Table of reporting scope (excel)

Annually, on the situation as at 31 December

11 February

6/2013 section 3
Common reporting (COREP)

REM HE
High Earners

Annually, on the situation as at 31 December

On 30 June at the latest

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-taulukot
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

Under chapter 7, section 8, subsection 2 of the Investment Services Act (747/2012), the provisions of chapter 8 of the Credit Institutions Act are also applicable to investment firms.

1. Decision-making of the general meeting concerning a high maximum share of variable remuneration - Chapter 8 Section 8

Without delay

15/2021

Investment Services Act chapter 6 b section 4

Reporting of information on fitness and propriety

Reports are submitted via FIN-FSA´s e-services (more information)
Link to the FIN-FSA electronic service(in Finnish)

Without delay after the appointment or a change in the person’s responsibilities, and no later than two weeks from the appointment decision or from the date at which the person takes up the new position

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

Capital requirements calculation and large exposures

Form (excel) available in Finnish

Without delay

EU 2017/1946

Investment Services Act (747/2012) chapter 6a

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

Forms for situations where reduced information requirements apply (Article 13, EU 2017/1946):

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

In advance

kirjaamo(at)finanssivalvonta.fi

Tied agent notification

See Register of tied agents

New notification or declaration of changes is submitted to the address sipa-ilmoitukset(at)fiva.fi or by post to the Registry of the Financial Supervisory Authority

Notification form (pdf) available in Finnish or in Swedish

NB! The PDF form works with Windows devices. Another option is to create an xml file and to send the file to the above address.

Reporting of tied agent notification in machine-readable form (xsd)

Immediately

3/2014

Authorisations, registrations and notifications

RA1.1 section 4

Reporting of intra-group transactions

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

15 May, 15 August, 15 November, 28/29 February

RA1.2 section 4

Acquisition of controlling interest in undertakings authorised in non-EEA states

In advance, before acquisition of controlling interest

8/2014

Management of operational risk in supervised entities of the financial sector

EU 2017/565 (recital 44)

Outsourcing

In advance

2/2016

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

Annually

Within two weeks from the approval of the financial statements

kirjaamo(at)finanssivalvonta.fi

Interim report

Within two months from the end of the interim period

see above

Auditing

Within two months from the end of the interim period

Management of supervised entity capital adequacy

Annually and always when changes take effect

Immediately when changes take effect

Notification of material changes to the conditions for granting authorisation

kirjaamo(at)finanssivalvonta.fi

Notification of the owners of the holdings referred to in subsections 1 and 2 and the size of the holdings as well as changes in holdings

Once a year/without delay

Sipa-ilmoitukset(at)finanssivalvonta.fi

Notification of intent to acquire control within the meaning of chapter 1, section 5 of the Accounting Act in a credit institution, an investment firm, a fund management company, an alternative fund manager or an insurance company whose registered office is in a third country

In advance

kirjaamo(at)finanssivalvonta.fi

Notification that an investment firm engages in algorithmic trading in Finland or in an EEA country

MiFIDilmoitukset@fiva.fi

Notification that an investment firm provides direct electronic market access to a trading venue

MiFIDilmoitukset@fiva.fi

An auditor’s report on whether arrangements for the custody and handling of the customer assets of an investment firm meet the provisions of chapter 9 of the Act on Investment Services as well as provisions adopted pursuant thereto

Once a year

Notification of the name and contact details of the body referred to in subsection 1 of 10:15

Notification that an investment firm intends to establish a branch in an EEA country other than Finland or intends to use a tied agent established in another EEA country in whose area it has not established a branch

In good time in advance

kirjaamo(at)finanssivalvonta.fi

Notification of changes to the information referred to in subsection 1

At the latest one month before the changes are due to be implemented

kirjaamo(at)finanssivalvonta.fi

Notification of how the receivables of investors that are customers of an investment firm’s branch abroad have been secured

Notification that an investment firm intends to commence providing investment services or practising investment activities and providing ancillary services in accordance with Annex I of the Markets in Financial Instruments Directive in an EEA country other than Finland without establishing a branch

In good time in advance

kirjaamo(at)finanssivalvonta.fi

Notification of changes to the information referred to in subsection 1

At the latest one month before the changes are due to be implemented

kirjaamo(at)finanssivalvonta.fi

Notification that an investment firm intends to offer a direct opportunity for an investment firm, credit institution or other person established in another EEA State to trade in a multilateral or organised trading facility

In good time in advance

kirjaamo(at)finanssivalvonta.fi

Notification of change to information referred to in subsection 4

At the latest one month before the change is due to be implemented

kirjaamo(at)finanssivalvonta.fi

Notification that an investment firm intends to commence providing investment services or practising investment activities and providing ancillary services in accordance with Annex I of the Markets in Financial Instruments Directive in a third country without establishing a branch

In good time in advance and when information has changed

kirjaamo(at)finanssivalvonta.fi