Module 07
Regulatory filings
Returns and notices prepared from reconciled data, for your principals to sign.
Module 07 · Regulatory filings
Checks
01
Annual client notices
Professional investor notices prepared, sent and tracked, with the wording the rules require.
02
Senior management pack
The Senior Management Report uses the same tests and the same AUM as the other pages.
03
Financial Resources Rules
FRR figures prepared from management accounts.
04
Reconciled data only
A figure goes into a return only after reconciliation has checked it.
The control
The AUM on a return is the same figure the Account Monitor shows for that date.
Deliverables
What you receive
01
Client notices, sent and logged
02
Senior Management Report pack
03
FRR working file
Who does what
TAC prepares the figures and the letters.
Our team checks the pack before it reaches you.
Your principals sign the return and submit it.
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