Reporting

More information on reporting is available in the Reporting section.

What should be reported and notified?

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Financial standing and risks

Finnish management companies

Regulations and guidelines	Information to be reported	Reporting frequency and reference dates	Submission dates
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
AML act (444/2017)	RA Risk assessment questionnaire	Annually 31 December	28 February

For further information on Bank of Finland's data collection, please see:

Reporting map (financial sector) (pdf)
Bank of Finland's website.

Branches of foreign management companies in Finland

Regulations and guidelines	Information to be reported	Reporting frequency and reference dates	Submission dates
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
AML act (444/2017)	RA Risk assessment questionnaire	Annually 31 December	28 February

Regulations and guidelines

Information to be reported

Reporting frequency and reference dates

Submission dates

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

AML act (444/2017)

RA Risk assessment questionnaire

Annually
31 December

28 February

For further information on Bank of Finland's data collection, please see:

Reporting map (financial sector) (pdf)
Bank of Finland's website.

Notifications

Information reported on standard forms or as separate files

Regulations and guidelines / Standard	Information to be reported	Reporting frequency and reference dates	Submission dates
RA1.4 section 5.1	Reporting of information on fitness and propriety 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
8/2014	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)		Without delay
section 9.2	Annual report on losses from operational risk Damage report form (word)		On 28 February at the latest
Government Decree 208/2014 Common Funds Act section 16	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

Information reported in free form

Regulations and guidelines / Standard	Information to be reported	Reporting frequency and reference dates	Submission dates
3/2014	Authorisations, registrations and notifications
1/2012 section 8	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 Financial statements of investment funds managed by the fund management company	Annually	Within two weeks from the approval of the financial statements
see above	Interim report		Within two months from the end of the interim period
see above	Auditing		Within two weeks from the submission of the report to the supervised entity
Common Funds Act 5b.4§	Notification when an investment firm commences operations
Common Funds Act 9a.3 §	Notification when a custodial institution commences operations
Common Funds Act 10b.2 §	Notification of changes to the information concerning significant close associations reported in the authorization application	Immediately
Common Funds Act 16.5§ 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 section 16, paragraph 5 of the Act on Common Funds	Once a year
Common Funds Act 18a §	Notification of establishing a branch for an investment firm authorized in another EEA state
Common Funds Act 24.2 §	Notification when a mutual fund commences operations
Common Funds Act 26a.5 § 1/2012	Notification of outsourcing arrangements	In advance
Common Funds Act 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	Immediately
Common Funds Act 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	Without delay
Common Funds Act 30c.2 §	Notification of the equity of a management company falling below the minimum amount provided in Section 6	Without delay
Common Funds Act 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
Common Funds Act 33 §	Notification of custody agreement made by the investment fund and any changes to such agreement	Immediately
Common Funds Act 40.1 § 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	Without undue delay
Common Funds Act 43a §	Submission of fund rules of a non-UCITS fund
Common Funds Act 52.1 §	Notification of a decision to halt the redemption of mutual fund units	Without delay
Common Funds Act 80 b 3 §	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	Once a year
Common Funds Act 92.5 §	Mutual fund prospect and any amendments thereof	Immediately
Common Funds Act 98.3 §	Mistake in publication of the value of a mutual fund unit	Immediately
Common Funds Act 98 c §	Key Investor Information Document (KIID) and any changes to it	Immediately
Common Funds Act 105.2 §	Notification of implementation of surrender of management of a mutual fund	Within two months from the granting of the authorization
Common Funds Act 110.1 §	Notification of implementation of a merger of mutual funds	Within two months from the granting of the authorization
Common Funds Act 115.1 §	Notification of implementation of a demerger of a mutual fund	Within two months from the granting of the authorization
Common Funds Act 115m §	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	Immediately
Common Funds Act 119.1 §	Notification of a decision to terminate a mutual fund	Without delay
Common Funds Act 119.3 §	Final settlement of a terminated mutual fund with annexes
Common Funds Act 119.5 §	Notification that the assets of a mutual fund have been divided and the mutual fund terminated	Without delay
Common Funds Act 126a.1 §	Notification of establishment of a branch in an EEA member state	Well in advance
Common Funds Act 126a.5 §	Notification of changes to information specified in section 126a.1	No later than one month before the changes take effect
Common Funds Act 126d.1 §	Notification of commencement of operations as referred to in section 5 in the area of another country without establishing a branch	Well in advance
Common Funds Act 126d.3 §	Notification of change in information under section 126d.1 of the Investment Firms Act	In advance
Common Funds Act 126e §	Notification of carrying out activities referred to in section 5 subsection 2 in a non-EEA country without establishing a branch, and related change of information	Well in advance
Common Funds Act 127 §	Notification when an investment firm or a foreign EEA investment firm intends to market in the EEA home country the units of a fund it manages in Finland.