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Regulatory Reporting

Regulatory reporting is a growing burden and regulators continue to take disciplinary action against firms for missing filings or reporting incorrect data. Our team can help with all elements of completing your returns, from breaking down methodologies and calculating portfolio responses to making the final submission directly to the FCA on your behalf. We can assist you to review your reports, draft them in partnership with you or draft your reports in full.

AIFMD reporting: Annex IV

Meeting the challenging reporting requirements of AIFMD Annex IV means significant investment in skills. Figuring out how and what you need to report under AIFMD is complex and depends on your structure and assets under management.

Most AIFMs that are managing AIFs or marketing them into the European Union or the EEA will have to complete Annex IV reports. These Annex IV reports will have to be submitted to the relevant National Competent Authority (NCA), which in the UK is the FCA. A non-EEA AIFM will have to file a report to the NCA of each member state in which it markets an AIF. Firms are required to make returns either quarterly, bi-annually or annually.

Annex IV returns can require complex risk calculations and all returns need to be submitted to the FCA via the Gabriel system. We can help you with the completion of these returns.

Annex IV reporting deadlines 2018 – 2019

Reporting Period FCA Filing Deadline
Q1 Jan 1st – March 31st 2019 April 30th 2019
Q2 / HY1 April 1st – June 30th 2019 July 31st 2019
Q3 July 1st – September 30th 2019 October 31st 2019
Q4 / HY2 / Y October 1st – December 31st 2019 January 31st 2020

Q = Quarterly filers

HY1/HY2 = Bi-annual filers

Y = Annual filers

Contact our specialist Regulatory Reporting team today on 0207 436 0630 or email info@thistleinitiatives.co.uk. Visit our investments page for more information on our services.


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