Report |
Frequency |
Due date |
List of all overseas regulators for each legal entity in the firm's group |
Annually |
6 months after the firm'saccounting reference date |
Organogram showing the authorised entities in the firm's group |
Annually |
6 months after the firm'saccounting reference date |
Report |
Frequency |
Due date |
Report from a trustee of an AUT on manager's failures as set out in SUP 16.6.8 R (1) |
Quarterly |
1 month after quarter end (Note) |
Report from a depositary of an ICVC on failures by the authorised corporate director as set out inSUP 16.6.8 R (2) |
Quarterly |
1 month after quarter end (Note) |
OPS firms only: Annual accounts of each occupational pension scheme in respect of which the firm is acting |
Annually |
7 months after end of the scheme year |
OPS firms only: Audited annual accounts of each OPS collective investment scheme in respect of which the firm is acting |
Annually |
7 months after end of the scheme year |
Note = The quarter ends are 31 March, 30 June, 30 September, 31 December.1 |
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