SD-16.3 — Regulatory Reporting & Filings

Business Domain: BD-16 Enterprise Governance & Accountability (Cross-cutting — corporate) · Applies: BOTH

Purpose

Produces and submits the firm’s mandatory regulatory returns and filings, and runs the regulator relationship. SD-16.3 is the capability that meets the firm’s obligation, as a licensed entity, to report to its regulators — the corporate and prudential returns (capital adequacy, the firm’s own conduct returns) and the investment and fund regulatory returns (Form PF, AIFMD Annex IV, MiFIR transaction reporting, Form 13F, short-selling disclosures). It owns the filing — the return’s preparation, submission and the regulator liaison; the data the return is built from comes from BD-12 and BD-13. It is not investment-compliance monitoring — that is BD-10, which checks the portfolio against the rules — and it is not the firm’s statutory financial statements, which are SD-16.4.

Service Operations

• Prepare the corporate and prudential returns — the firm’s own regulatory returns as a licensed entity: capital-adequacy reporting, the prudential return, the firm’s conduct returns.
• Prepare the investment and fund regulatory returns — Form PF, AIFMD Annex IV, MiFIR transaction reporting, Form 13F and the short-selling and position disclosures, drawing the data from BD-12 and BD-13.
• Submit and track filings — submit each return on its deadline through the regulator’s channel, and track the filing calendar and confirmations.
• Run the regulator relationship — manage the operational interaction with the firm’s regulators: requests, queries, examinations and notifications.
• Maintain the regulatory-filing inventory — the register of every return the firm owes, its frequency, its owner and its status.

Inputs and outputs

• Inputs: the corporate and capital data from SD-17.1; portfolio, transaction and fund data from BD-12 and BD-13; breach-disclosure triggers from SD-10.8; the regulatory-filing requirements.
• Outputs: the submitted regulatory returns and the regulator-relationship record — consumed by the regulators, the governing bodies, and SD-14.8 Internal Audit.

Entities

• Consumes: E-14 External Identifier (any partition — instrument-side LEIs / ISINs, entity-side LEIs, fund-side identifiers are all carried in regulatory returns depending on the regime) and the portfolio / transaction entities the returns draw on; E-01 Legal Entity (the regulated entities and the regulators); the SD-10.8 breach-disclosure triggers; the SD-17.1 corporate and capital data; E-35 Complaint Record (from SD-15.16 — the complaint statistics that feed the regulatory complaints return the FCA DISP and equivalent regimes require); FO-07 Investor Tax Statement (from SD-17.4 — the per-investor FATCA and CRS tax reports that SD-16.3 submits to the relevant tax authority as part of the formal regulatory-filing workflow; SD-17.4 produces FO-07; SD-16.3 submits it).
• Owns: the regulatory-filing inventory and submission record — a process artefact; a Regulatory Filing entity is an open extension.

Standards

• The prudential regimes — the UK IFPR, the EU IFR/IFD, and equivalent capital regimes for investment firms.
• The investment / fund reporting regimes — Form PF, AIFMD Annex IV, MiFIR transaction reporting, Form 13F, the short-selling disclosure regimes.
• The regulators’ filing channels and data standards.

Open extensions

• A Regulatory Filing entity.
• The corporate / prudential versus investment / fund return sub-model.
• The BD-12 / BD-13 data-sourcing interface.