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Quarterly Returns/Filings

Section 10(1) of the FSC Act requires each financial institution to submit a financial statement at the end of each quarter as well as such other information that is deemed necessary for the understanding of the financial statement.

Section 10(2) enables the FSC to obtain on request additional information including information relating to financial statements or returns of a financial institution, information about holding companies, subsidiaries or affiliates of a financial institution; as well as any other information, books, records or documents that the Commission considers necessary for the purpose of carrying out its function to supervise and regulate the operation of financial institutions.

The Commission in accordance with section 10(1) and 10(2) of the FSC Act requires submission of quarterly financial statements and additional information on the terms outlined below.

 Filing deadline  Within 30 days of the end of the quarter
 Submission to  All filings should be addressed to the attention of the Securities Division, Manager, Securities
 Method of filing  Where possible soft copies should be submitted in PDF by email to This email address is being protected from spambots. You need JavaScript enabled to view it.. Hard copies may also be submitted by post, handdelivery or facsimile.
 Type of Financial Statements required  Initially only unaudited Income Statements and Balance Sheets will be required
 Other required information  Other information may be required from your organisation – Pleasesee the schedule of requirements below in order to determinewhether your organisation has additional requirements.

 

Schedule of other requirements for Quarterly filings

Licencee / Registrant Type

Contents of Quarterly Returns

All Licencees / Registrants

Income Statement

Balance Sheet

Reporting Issuer (Shares – Listed)

All trades executed by connected parties

Shares repurchased and cancelled

Reporting Issuer (Shares – Unlisted)

All trades executed

All trades executed by connected parties

Shares repurchased and cancelled

Securities Companies / Brokers / Dealers

Information on business undertaken relative to Repurchase Agreements, Principal Protected Notes , Derivatives, other Debt securities stating the value of transaction(s), underlying securities, tenure of the transaction(s)

Underwriters

Underwriting Activity Report stating securities underwritten, amount underwritten, amount of unsold securities.

Mutual Funds

Mutual Fund Activity Report