Investment Quarterly Return 145 - Online Submissions

As highlighted in the Commission’s news release of 30 March 2016 following the initial submission of Return 145 for the quarter ended 31 March 2016 many licensees, dependant on their impact rating and main regulated activity, will now only be required to submit the information requested on a Return 145 on an annual basis.  Certain licensees, dependant on their impact rating and main regulated activity, will still be required to submit on a quarterly basis from the quarter-ended September 2016.  However, in order to facilitate these changes the Commission will not be requiring completion of a Form 145 for the quarter-ended June 2016.  It therefore does not appear on any licensees’ timelines. 

To clarify, for the quarter-ended September 2016 onwards the return will appear on certain licensees’ timelines.  This should be completed by all licensees for whom it appears.  The Commission would like to take this opportunity to remind all licensees to review their Online Submissions Timeline on a regular basis. 

Any queries relating to the above please contact Helen Lowe or Emma Bailey in the Investment Supervision and Policy Division.

Any queries around accessing the Online Submissions Portal please contact the Online Submissions Help Desk - [email protected]/* */ TELEPHONE +44 1481 733420.