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)

Investment firms

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 Own funds 

COREP LR leverage ratio

COREP LE Large exposures

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 assessment questionnaire

Annually
31 December

31 March

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

Branches of foreign investment firms 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-taulukot
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 assessment questionnaire

Annually
31 December

31 March

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

Notifications

Investment firms

Information reported on standard forms or as separate files

Regulations and guidelines / Standard Information to be reported Reporting frequency and reference dates Submission dates

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

see above 2. Data collection regarding high earners - Chapter 8 Section 16 Annually 30 June
see above 3. Remuneration Benchmarking data collection - Chapter 8 Section 16 Annually 30 June

RA1.4

Reporting of information on fitness and propriety

Fit & Proper form S3 (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

kirjaamo(at)finanssivalvonta.fi

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

25/2013 section 10.3

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 

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

 

In advance

Investment Services Act (747/2012) chapter 7 section 6

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

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

 

 

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

see above

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

RA4.10 section 5

Reporting of related-party loans and investments

Annually, on the situation as at 31 December

Within two months from the reference date

4.2

Management of supervised entity capital adequacy

Annually and always when changes take effect

Immediately when changes take effect

Investment Services Act (747/2012) 3:8

Notification of material changes to the conditions for granting authorisation

 

 

Investment Services Act (747/2012) 6a:1.5

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

Investment Services Act (747/2012) 7:10 and RA1.2

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

Investment Services Act (747/2012) 7a:1

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

 

 

Investment Services Act (747/2012) 7a:3

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

 

 

Investment Services Act (747/2012) 9:6

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

Investment Services Act (747/2012) 10:15

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

 

 

Investment Services Act (747/2012) 13:1

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

Investment Services Act (747/2012) 13:1.4

Notification of changes to the information referred to in subsection 1

 

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

Investment Services Act (747/2012) 13:4

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

 

 

Investment Services Act (747/2012) 13:6.1

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

Investment Services Act (747/2012) 13:6.3

Notification of changes to the information referred to in subsection 1

 

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

Investment Services Act (747/2012) 13:6.4

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

Investment Services Act (747/2012) 13:6.5

Notification of change to information referred to in subsection 4

 

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

Investment Services Act (747/2012) 13:6a

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

 

Transaction reporting
Regulations and guidelines Information to be reported Reporting frequency and reference dates Submission dates
2/2018 Kaupparaportointi, tarjouskirjanpito ja kellotahdistus MiFID II:n mukaisesti (in Finnish)

Transactions executed on financial instruments

More information on transaction reporting

 

Without delay or the next day