1. Compliance
  2. Regulatory reporting

Regulatory reporting

The purpose of annual reporting is to collect information from the market to help us understand the people and businesses we regulate.  It ensures our information is current and it helps us to prioritise our future monitoring and regulatory activities.

Annual AFA information return

The AFA Information Return is an online tool that each Authorised Financial Adviser (AFA) must complete and submit annually. It consists of a series of questions about AFAs, their business, their compliance approach and their approach to continuing professional development.

Annual AML/CFT reporting

All reporting entities are required to prepare an annual report on their risk assessment and AML/CFT programme. Reports for the period of 1 July 2017 – 30 June 2018 must be submitted online to us by 31 August 2018.

Annual crowdfunding and peer-to-peer provider regulatory return

Every licensed crowdfunding and peer-to-peer service provider is required to complete and submit a regulatory return annually. The return is a series of questions and licensees will need to submit their return to us by 31 August 2018. 

Market operators

As a market operator you need to provide us with a periodic self-assessment on how well you have complied with your obligations during that period (s337).

We need to carry out periodic reviews of your compliance and publish our findings in a report. If we find that you are not meeting your general obligations, we can ask you to put an action plan in place.

As a market operator, you are obliged to notify us of certain events, such as when you take disciplinary action for breaches of your market rules, or when you suspect someone may have breached legislation. You must also give us information and assistance when we need them to carry out our regulatory role.

Full details of the ongoing operational obligations of market operators are found in subpart 8 of part 5 of the Act.