Events listed in form
Registration under 1933 act of securities of unit investment trusts registered on ...
ID 26413
The U.S. Securities and Exchange Commission (SEC) has published new Form S-6 – the „facing sheet“ which will be valid through June 30, 2026 unless otherwise modified before. The form – in general – must be filed by unit investment trusts (UITs) or their underwriters, if they intend to offer and sell securities to the public and seeks information on a trust’s portfolio management ...
Monthly Portfolio Investments Report (PDF)
ID 26411
The U.S. Securities and Exchange Commission (SEC) has published new Form N-PORT which will be valid through January 31, 2025 unless otherwise modified before. The form must be filed by certain registered investment companies, including mutual funds, exchange-traded funds (ETFs), and closed-end funds to report information about a fund’s portfolio holdings as of the end of each calendar quarter. The purpose of Form N-PORT ...
Verzeichnis der mindestreservepflichtigen Institute – MIREL 23.12
ID 26342
Die SNB veröffentlicht das aktuelle Erhebungsformular (Meldewesen) für folgendes Fachgebiet: + Erhebungsgegenstand: Erhebung der mindestreservepflichtigen Bilanzpositionen sowie der anrechenbaren liquiden Aktiven gemäß Kapitel 3 (Mindestreserven) der Verordnung zum Bundesgesetz über die Schweizerische Nationalbank + Art: Vollerhebung + Auskunftspflicht: Alle Banken + Erhebungsstufe: Unternehmung + Periodizität: Monatlich (Unterlegungsperiode: 20. des laufenden bis zum 19. des ...
Kapitalverflechtungen mit dem Ausland (INP) – INP 1.6
ID 26270
Die SNB veröffentlicht das aktuelle Erhebungsformular (Meldewesen) für folgendes Fachgebiet: + Erhebungsgegenstand: Grenzüberschreitende Kapitalverflechtungen von in der Schweiz und Liechtenstein domizilierten Unternehmen (inkl. Erträge), sowie operative Angaben zu Mehrheitsbeteiligungen im Ausland. Die Erhebungen folgen den Richtlinien des IWF (Handbuch zur Zahlungsbilanz und zum Auslandvermögen, 6. Ausgabe) und den Anforderungen der EU gemäß dem bilateralen Statistikabkomme ...
(Financial and Operational Combined Uniform Single) FOCUS Report: Information ...
ID 26248
The U.S. Securities and Exchange Commission (SEC) has published FOCUS REPORT FORM X-17A-5 SCHEDULE I which will be valid through November 30, 2026 unless otherwise modified before following the approval of the Office of Management and Budget (OMB). Form X-17A-5 SCHEDULE is a regulatory filing requested by the SEC on an annual basis by registered broker-dealers under the Securities Exchange Act of 1934. It ...
CPMI IOSCO Quantitative Disclosure Template – SIX x-clear AG (Q3/2023), ...
ID 26181
The Swiss Exchange (SIX Group/SIX x-clear AG) has published the „CPMI IOSCO Quantitative Disclosure Template“ for Q3/2023. The template includes close to 200 fields of quantitative data related to the parameters like credit risk, collateral, margin, liquidity risk, and aims to further increase the transparency of financial markets. Please click here in order to view more information on CPMI-IOSCO and here to visit the ...
Reporting Form for Investment Advisers to Private Funds and Certain Commodity Pool ...
ID 26147
The U.S. Securities and Exchange Commission (SEC) has published new Form PF which will be valid through April 30, 2024 unless otherwise modified before. The form collects information aimed at monitoring systemic risk in the private fund industry, including hedge funds and privat equity funds. Form PF is a regulatory filing requested by the SEC under the Investment Company Act of 1940. It must ...
Form 11 – Appointment of Chief Executive Officer or Director / Change of ...
ID 26134
The Monetary Authority of Singapore has issued a revised form (Form 11) for capital market licensees, including custodians, REIT management, credit rating agencies, financial advisers, and others, which must be used to apply with MAS for „the appointment of a Chief Executive Officer or director“ or for the change of a director’s role. Noted firms are expected to submit the form online. Following a ...
Central Bank publishes updated Minimum Capital Requirements Reporting Template for ...
ID 25940
The Central Bank has released two updated Minimum Capital Requirements Reporting Templates for AIFMs and UCITS Management Companies. The revised MCR incorporates changes to Article 17(6) of the European Communities (Undertakings for Collective Investment in Transferable Securities) Regulations 2011 and Regulation 10(5) of the European Union (Alternative Investment Fund Managers) Regulations 2013. These amendments ensure that **own funds of a UCITS Management Company or ...
Verzeichnis der mindestreservepflichtigen Institute – MIREL 23.11
ID 25875
Die SNB veröffentlicht das aktuelle Erhebungsformular (Meldewesen) für folgendes Fachgebiet: + Erhebungsgegenstand: Erhebung der mindestreservepflichtigen Bilanzpositionen sowie der anrechenbaren liquiden Aktiven gemäß Kapitel 3 (Mindestreserven) der Verordnung zum Bundesgesetz über die Schweizerische Nationalbank + Art: Vollerhebung + Auskunftspflicht: Alle Banken + Erhebungsstufe: Unternehmung + Periodizität: Monatlich (Unterlegungsperiode: 20. des laufenden bis zum 19. des ...