Regulatory Reporting

Data on This Page

Five tracked filings across four regimes — MiFID II Best Execution (RTS 28), SEC Form ADV Annual Amendment, FCA COBS Suitability Attestation, FINMA Cross-Border Client Reporting, and MiFID II Transaction Reporting (RTS 22) — each with jurisdiction, due date and status, plus a 100% filed-on-time YTD figure.

What This Agent Does

Assembles the underlying transaction records, holdings and best-execution/suitability data required for each regulatory filing across jurisdictions, tracks status against due dates, and prepares filings for submission — daily obligations like RTS 22 transaction reporting run continuously, while periodic filings like Form ADV are prepared well ahead of their statutory deadline.

Worked Examples

• The FCA COBS Suitability Attestation is due Aug 11, 2026 — the nearest deadline in the queue relative to today's date — and is already Ready to File.
• The SEC Form ADV Annual Amendment isn't due until Sep 15, 2026 and is Not Started — the lowest-urgency item today, but still tracked against the 100% on-time record.
• MiFID II Transaction Reporting (RTS 22) is due Daily rather than on a single date — a continuous obligation the agent files every trading day, currently Ready.