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Regulatory Reporting Upcoming Deadlines

Here's a list of important dates for the quarter that can be added to your Outlook calendar.
Click on the dates to download a reminder.

FCA Regulatory returns to be submitted on RegData

Deadline: 28 October 2024

Deadline: 11 November 2024

FSA029 Balance Sheet FSA029 Consolidated Balance Sheet (2)
FSA030 Profit and Loss Account FSA030 Consolidated Profit and Loss Account (2)
MIF001 Own Funds MIF001 Consolidated Own Funds (2)
MIF002 Liquid Assets MIF002 Consolidated Liquid Assets (2)
MIF003 Monitoring Metrics MIF003 Consolidated Monitoring Metrics (2)
MIF004 Non-K-CON Concentration Risk (1) MIF004 Consolidated Non-K-CON Concentration Risk (1),(2)
MIF006 Group Capital Test (2) Complaints DISP 1 Ann 1R (3)
FIN066 Capital adequacy for CPM firms FSA038 Volumes and type of business (3)
FIN067 Additional Reporting for CPMI Firms FSA039 Client Money and Client Assets (3)

Deadline: 31 October 2024

REP008 Notification of Disciplinary Action relating to conduct rules staff (other than SMF managers)

 

Transparency/ Portfolio data reporting - Annex IV, Form PF and CPO-PQR

Deadline: 31 October 2024

Deadline: 29 November 2024

AIF001 AIFMD - Manager Data Form PF for large Hedge Fund Advisers (4)
AIF002 AIFMD - Fund Data Form CPO-PQR (4)

 

(1) applicable to Non-SNI

(2) applicable to Investment Firm Groups

(3) applicable to firms with March year end

(4) 60 calendar days from the quarter end

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