Financial Regulatory Filing

Type: Information Object

Status: Active
Industry Sector: Financial Services
Sensitivity Level: Confidential
Personal Information: No PII

Description:
Formal filing submitted to a financial regulator for reporting.

Accessed by Application(s):

• Financial Crime Case Management System
• Financial Regulatory Reporting Application
• Fund Administration System

 Yes

Attributes

Order	Name	Description	Type	Cardinality	Example value
1	Financial Regulatory Filing ID	Unique identifier for the financial regulatory filing	GUID	Mandatory
2	Filing Type	Type of financial regulatory filing	Enumeration	Mandatory
3	Filing Status	Current status of the filing	Enumeration	Mandatory
4	Regulatory Authority	Authority receiving the filing	String	Mandatory
5	Reporting Period	Period covered by the filing	String	Mandatory
6	Due Date	Date when the filing is due	Date	Mandatory
7	Submission Date	Date when the filing was submitted	Date	Optional
8	Related Report	Regulatory report or compliance report supporting the filing	Reference	Optional
9	Acknowledgement Reference	Reference returned by the regulator after submission	String	Optional

 Yes
 
 Active
 No PII
 Confidential
 Financial Services
 Formal filing submitted to a financial regulator for reporting.

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