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 period||Frequency||Submission deadline for investment firms (fixed date)|
|31 March||Quarter||12 May*|
|30 September||Quarter||11 November*|
|31 December||Quarter |