Annual Filings, Returns & Periodic Reporting
This guidance explains the reporting obligations that apply to licensed entities, including annual filings, periodic confirmations, and event-driven notifications.
Purpose of This Guidance
This document sets out the reporting framework that applies after a license is granted. Ongoing reporting supports register accuracy, supervisory oversight, and market confidence.
Annual Filings
Licensees are required to submit annual filings confirming their continued operation, governance arrangements, and alignment with authorised activities.
- Confirmation of legal entity details
- Validation of authorised activities
- Confirmation of key personnel and registered agent
Periodic Reporting
In addition to annual filings, licensees may be required to submit periodic reports based on their license category, scale, and risk profile.
Event-Driven Notifications
Certain events require prompt notification to the Authority. These notifications are separate from routine filings.
- Material changes to ownership or control
- Changes to authorised activities or operating model
- Resignation or appointment of key persons
- Operational disruptions or compliance incidents
Accuracy and Timeliness
Filings and reports must be complete, accurate, and submitted within applicable timeframes. Delayed or inaccurate reporting may affect register status or processing of future requests.
Conclusion
Ongoing reporting is a condition of holding a license. Licensees should treat filings as a governance obligation rather than a procedural formality.