Regulatory Reporting

Registrants are required to submit various regulatory reports throughout the year in accordance with the Securities Industry Act 2021, Securities Industry Regulation 2023, and the SIA Standard Conditions.

Registrant Regulatory Reporting Obligations:

• FSC Rep 1
• FSC Rep 2
• Compliance Declaration
• Audited Financial Statements
• AML/CFT Self-Assessment Questionnaire
• Targeted Financial Sanctions Self-Assessment Questionnaire
• Form 14