Module 07
Regulatory filings
Returns and notices built from checked data, ready for your principals to sign.
What it checks
What the regulatory filings module checks.
01
Annual client notices
Professional investor notices made, sent and tracked, with the words the rules ask for.
02
Senior management pack
The Senior Management Report uses the same checks and the same AUM as every other page.
03
Financial Resources Rules
FRR figures prepared from management accounts. Scope to confirm.
04
Checked data only
A number goes into a return only after reconciliation has checked it.
Null test
The AUM on the return must match the AUM on the Account Monitor for the same day.
What you get
What the regulatory filings module gives you.
Output 1
Annual notices, sent and logged
Output 2
Senior Management Report pack
Output 3
FRR working file
Software
Prepares every number and every letter.
TAC team
Checks the pack before it reaches you.
Your principals
Sign it and send it in.
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