logo
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Menu
  • Search
Get a Quote
logo
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Get a Quote
Menu
  • Search

Tag: Reporting

Complyport UK Consultancy Service > Reporting
  • 17 February 2025
  • Latest News

Operational Incident and Third-Party Reporting

Overview The Financial Conduct Authority’s (FCA) Consultation Paper, CP24/28, outlines proposed changes to the regulatory framework governing how firms report operational incidents and manage third-party arrangements. Introducing this Consultation Paper […] [...]

Read More
  • 30 October 201525 May 2016
  • International

Common Reporting Standards: FATCA

The International Tax Compliance Regulations 2015 (SI 2015/878) came into force in April this year which capture: The OECD’s Common Reporting Standards (CRS) The Directive on Administrative Cooperation (DAC) (2011/16) […] [...]

Read More
  • 29 August 201516 November 2017
  • Latest News

AIFMD: Annex IV Reporting Issues

Problems encountered by firms in meeting the demanding Annex IV reporting requirements (SUP 16.18) has led the FCA to issue a further set of Q&As to assist firms and which: […] [...]

Read More
  • 29 April 201528 June 2016
  • Corporate Governance

Transaction Reporting Failure

Merill Lynch International (MLI) became the twelfth firm to be fined by the Regulator for a transaction reporting failure – the previous one being Deutsche Bank last August. The Final […] [...]

Read More
  • 25 February 201528 June 2016
  • Corporate Governance

SEC Annual Updating Reminder

A brief reminder for those firms that are registered with the U.S. Securities and Exchange Commission (“SEC”) that they need to submit an annual updating statement within 90 days of […] [...]

Read More
  • 25 February 201528 June 2016
  • European Regulation

EMIR Backloading

It’s now a year (12 February 2014) since the reporting obligation to report to a Trade Repository under EMIR came into force. Firms subject to the EMIR reporting obligation may […] [...]

Read More
  • 25 February 201528 June 2016
  • Corporate Governance

Transaction Reporting

The FCA has updated the Transaction Reporting User Pack (TRUP), the previous version (v 3) was release in March 2012 – see Regulatory Roundup 39. It’s not so much an […] [...]

Read More
  • 20 November 201429 July 2016
  • Latest News

Country by Country Reporting

One of the obligations introduced by CRD IV was the Country by Country disclosure, for the financial year, arising from Article 89 of the CRD and with the first full […] [...]

Read More
  • 20 November 201429 July 2016
  • European Regulation

EMIR: Trade Repository Reporting Changes

The reporting requirements arising under Article 9 of EMIR (which became obligatory from 12 February this year) are essentially based upon Implementing Regulation 1247/2012 (format and frequency of trade reports) […] [...]

Read More
  • 20 November 201429 July 2016
  • Latest News

Legal Entity Identifier: CRD IV

The need for a Legal Entity Identifier (LEI) is most probably associated with reporting under EMIR (see Regulatory Roundup 52) although its use is encouraged elsewhere e.g. AIFMD Reporting (see […] [...]

Read More
  • 01 October 201426 June 2018
  • Latest News

AIFMD Reporting: FCA Guidance and AIF001/AIF002

This Alert is provided for information purposes about AIFMD Reporting and will be of particular relevance to Alternative Investment Fund Managers (AIFMs) including non-EEA AIFMs marketing in the UK. The […] [...]

Read More
  • 08 September 201429 July 2016
  • European Regulation

AIFMD Reporting Timetable

Those AIFMs that have been authorised under the AIFMD for some time will probably have gotten used to the AIFMD reporting requirements set out in SUP 16.18. However for those […] [...]

Read More
  • 08 September 201429 July 2016
  • European Regulation

AIFM Prudential Requirements

Now that the transitional period under the AIFMD has passed, more firms will be getting to grips with the obligations of IPRU(INV) 11 which addresses the prudential requirements of both […] [...]

Read More
  • 08 September 201429 July 2016
  • European Regulation

Fixed Overheads

Regulatory Roundup 53 advised that the EBA had published draft Regulatory Technical Standards (RTS) relating to the calculation of own funds based upon fixed overheads required under CRR Article 97. […] [...]

Read More
  • 08 September 201429 July 2016
  • Corporate Governance

Submission of Annual Accounts (FIN-A)

The rules surrounding the need to submit annual report and accounts via GABRIEL using FIN-A upload functionality (see Regulatory Roundup 55) will come into force this coming 31 December. The […] [...]

Read More
  • 28 August 201401 August 2016
  • Latest News

Connect vs. ONA

A reminder to firms that the FCA’s Online Notifications and Applications system (ONA), under which applications for Approved Persons, Variations of Permission etc. are submitted, will be largely replaced by […] [...]

Read More
  • 30 June 201430 August 2016
  • European Regulation

EMIR: Additional Reporting

Firms subject to EMIR should be aware that additional (daily) reporting to a Trade Repository (TR) comes into force on 11 August. As will be known, the obligation to report […] [...]

Read More
  • 12 June 201430 August 2016
  • Corporate Governance

Submission of Annual Accounts

Under SUP 16.12 firms are required to send various data item returns to the FCA, most of which are submitted electronically. Annual report and accounts are an exception in that […] [...]

Read More
  • 12 June 201430 August 2016
  • Corporate Governance

Country by Country Reporting

A reminder to those firms subject to CRD IV of the 1 July 2014 deadline in respect of the first ‘Country by Country’ disclosure – see Regulatory Roundup 52. This […] [...]

Read More
  • 12 June 201430 August 2016
  • Latest News

Complyport’s New COREP Reporting Service

As a consequence of falling under CRD IV, IFPRU firms have to submit their COREP returns to the FCA in XBRL format in line with European requirements. The first submission […] [...]

Read More

  • 1
  • 2
  • …
  • 5

INSIGHTS & EXPERTISE

Proactive monitoring and assessment of international Regulatory News and Industry Developments.
  • The Regulatory Gateway for Financial Promotions is Here

toparrow

The Regulatory Gateway for Financial Promotions is Here

  • Navigating KYC Challenges in 2024: Insights from the Q&A Session

toparrow

Navigating KYC Challenges in 2024: Insights from the Q&A Session

  • Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

toparrow

Webinar Recording – KYC: Challenges Around KYC and Best Practices for 2024

  • Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

toparrow

Navigating the Financial Promotions Gateway Ahead of the FCA Deadline, 7th February 2024

NEWS & EVENTS

Webinar: Beyond Compliance: What the 2025 Consumer Duty Report Tells Us

Webinar: Unlocking the Power of ViCA, Your AI-Powered Virtual Compliance Assistant

Online Training Course: Your MLRO Training Day

Webinar: Navigating the IFPR Impact: Good and Poor Practices Observed

In-Person Training Course: Your MLRO Training Day

In-Person Training Course: Your MLRO Training Day

logo
Established in 2001, Complyport combines former regulators, industry practitioners and legally qualified individuals to offer our clients an unparalleled, professional team.

Subscribe for Exclusive Regulatory News and Updates

Please enable JavaScript in your browser to complete this form.
Loading
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Menu
  • Terms and Conditions
  • Client Disclosures
  • Anti-Slavery Policy
  • CSR and ESG Policy
  • Privacy Policy
  • Cookie Policy

Member of:

apcc-41x48-1-1

Accredited by:

fsqs-logo-1-1
cyberessentials_certification-mark_colour-1-1
logo
Established in 2001, Complyport combines former regulators, industry practitioners and legally qualified individuals to offer our clients an unparalleled, professional team.

Member of:

apcc-41x48-1-1

Accredited by:

fsqs-logo-1-1
cyberessentials_certification-mark_colour-1-1
Menu
  • About
    • About us
    • Management
    • Our Group
    • Career
      • Work with us
      • Graduate Training Programme
    • Global Reach
    • CSR
  • Sectors
  • Services
    • Authorisations & Applications
      • FCA & PRA Authorisations
      • FCA Interview Preparation
      • FCA Perimeter Guidance
      • FCA Sandbox
      • HMRC Registrations
      • Change in Control
      • Variation of Permission
      • EU & International Authorisations
    • Compliance Support & Advisory
      • AR Monitoring Services
      • Consumer Duty
      • Ongoing Compliance Support
      • Governance, Risk & Compliance
      • SMCR Support Services
      • Retail Financial Services Compliance
      • Financial Promotion Compliance Support
      • Investment Firm Prudential Regime Support
      • Pension Switching & DB Pension Transfers
    • KYC/AML Managed Services
      • Compliance Staff Solutions
      • Outsourced Solutions
      • Remediation Solutions
    • Financial Crime
      • AML Health Checks
      • HMRC Supervision
      • AML Policies, Procedures & Controls
      • Financial Crime Assurance Review
      • BWRA Support
      • Rep-Crim
      • KYC/CDD/EDD
      • AML Training
      • Annual Retainer
      • Sanctions Framework Review
    • Internal Audit & Health Checks
      • Compliance Health Checks
      • Thematic Reviews
    • Skilled Person s166 & Expert Witness
      • Expert Witness
      • Skilled Person Reviews & Regulatory Investigations (Section 166)
    • Compliance Resourcing
      • Compliance Resourcing Solutions
      • DPO Support As a Service
    • Operational Resilience
      • FCA Operational Resilience Policy (PS21/3)
      • IT and Cybersecurity Audit
      • REP018 Operational & Security Risk Report
      • SOC 2 Compliance
      • DORA
    • Prudential & Regulatory Reporting
      • Risk Management Consulting
      • Prudential Advice & Support
      • MIFIDPRU 8 Disclosures Support
      • ICARA Support Services
      • IFPR
      • AIFMD Reporting
      • RegData Support Services
    • Insurance Advisory
    • Trade and Transaction Reporting Solutions
      • EMIR, MiFIR & SFTR Transaction Reporting
      • EMIR, MiFIR & SFTR Advisory Support
    • ESG Services
    • Digital & Operational Transformation Consulting
    • Training
      • Executive Training
      • MLRO Training
      • FCA Interview Preparation
      • eLearning Platform
  • Technology
    • ViCA
    • ComplyPortal
    • MAP FinTech
    • Compliance Monitoring & Learning Solution (CLMS)
  • Resources
    • Insights & Articles
    • Upcoming Webinars & Events
    • Webinars on Demand
    • Library
  • Contact
Menu
  • Terms and Conditions
  • Client Disclosures
  • Anti-Slavery Policy
  • CSR and ESG Policy
  • Privacy Policy
  • Cookie Policy

Global Offices

Complyport (UK)

34 Lime Street
London
EC3M 7AT
United Kingdom
+44 (0)20 7399 4980
info@complyport.co.uk

Complyport (UAE)

Emirates Financial Towers
South Tower
Level 3, Office 308
DIFC, Dubai
United Arab Emirates
info@ae.complyport.com

Complyport (EU)

2 Diagorou
ERA House
Ground Floor, 1097
Nicosia
Cyprus
info@cy.complyport.com

Connect With Us

© Complyport 2025 | All Rights Reserved.