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

Reporting map (financial sector) (pdf)

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
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

 

5/2014 section 3
Asset encumbrance reporting

AE

Table of reporting scope (excel)

  1. Parts A, B and D quarterly
    31 March, 30 June, 30 September, 31 December
  2. Part C annually: 31 December
  3. Part E semi-annually: 30 June, 31 December

12 May, 11 August, 11 November, 11 February

 

AML act (444/2017)

RA Risk assesment questionnaire

Annually
31 December

31 March

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

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
31 March, 30 June, 30 September, 31 December

12 May, 11 August, 11 November, 11 February

AML act (444/2017)

RA Risk assesment questionnaire

Annually
31 December

31 March

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

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

Fit & Proper form R3 (word)

  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 

Change in holding / Notification form (word) for natural persons available in Finnish or in Swedish 

Change in holding / Notification form (word) for legal persons available in Finnish or in Swedish

Change in holding / Notification form (word) for target company available in Finnish or in Swedish

 

 

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.