Online Submissions Notice
16th March 2016
Investment Designated Manager Statistical Quarterly Return 141a and 141b [Formerly Form NST]
Further to the Commission's news release of 8 January 2016, Returns 141a Investment Designated Manager Quarterly Return and 141b Multi-scheme Designated Manager Quarterly Return will be released on 20 March 2016 ready for use via the Online Submission Portal for the quarter ending 31 March 2016. The deadline for submission will revert to the standard timeframe of 30 April 2016.
For the relevant licensees the Returns 141a Investment Designated Manager Quarterly Return and 141b Multi-scheme Designated Manager Quarterly Return will appear on their timelines from 21 March 2016.
Investment Quarterly Return 145 [Formerly Form AM]
With reference to the Commission’s news release of 8 January 2016 the Return 145 will be available via the Online Submission Portal from 21 March 2016. The deadline for submission will revert to the standard timeframe of 30 April 2016.
By way of background, during the course of the online submissions project we took the opportunity to review all of the information we obtain and decided to ask for certain information which would aid us in determining the impact and risk rating for each licensee and thus ensure the appropriate level of supervisory engagement is applied to licensees with minimum disruption.
Return 145 was developed to collect some of that information and please note that Return 145 is therefore designed to be licensee specific as to the questions it asks.
Many licensees will be asked to complete a field entitled “assets under regulated activity”; this field means all assets under Investment regulated activity should be reported. For the avoidance of doubt please do not worry if this means you are including assets which may have already been reported via another return.
Return 145 should be completed by all licensees for whom it appears on their Online Submissions Timeline for the quarter ending 31 March 2016. After this initial submission, many licensees, dependent on their impact rating and main regulated activity, may not be required to submit the information on Return 145 as frequently as quarterly (possibly only annually). Each licensee's timeline on the online submissions portal will reflect this accordingly in due course.
Return 143, Investment Audited Financial Statements (Funds) Return 144, and Investment Half-Yearly Financial Statements – Class A Funds
Both of the above returns will also be available from 21 March 2016.
Return 142, Investment Audited Financial Statements, Compliance and Statistical Returns (Licensee)
The release of Return 142 has been postponed to allow for the Return to be piloted more widely by the Industry. Until such time as the Return is released please submit your accounts and the current annual returns in the normal manner to [email protected].
Any queries relating to the above please contact Helen Lowe, Louise Bougourd 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.