31-10-2016 Deadlines for submission of supervisory statements for investment firms

For some time now, we have imposed enforcement measures on investment firms that exceed statutory deadlines when submitting their statements. We have established that there are still institutions which do not fulfil their reporting obligations towards us by the applicable deadlines.

We therefore once again ask that you pay attention to the deadlines that apply to investment firms for submitting reports.

You can find the frequency and submission deadlines for the statutorily required reports for your institution in the Regulation on Statements of Financial Undertakings under the Wft 2011 (Regeling staten financiële ondernemingen Wft – Rsfo). Annex 6.3 lists them for investment firms in the Netherlands, while Article 3 of Commission Implementing Regulation (EU) No 680/2014 lists them for investment firms within the meaning of Article 4 of the Capital Requirements Regulation (CRR).

Submission deadlines for investment firms:

Reporting periodFrequencySubmission deadline for investment firms (fixed date)
31 MarchQuarter12 May*
30 June

Quarter
Semi-annual

11 August*
30 SeptemberQuarter11 November*
31 DecemberQuarter
Semi-annual
Year
11 February*
*If the submission deadline is a public holiday in the Member State of the competent authority to which the report is to be provided, or a Saturday or a Sunday, data shall be submitted on the following working day.