Trading Insider

Jan 1, 2021

5 min read

The ugly truth about how reporting to financial regulators works (or doesn’t) — an insider’s view — Part I

You might have heard that financial entities need to report to regulators regularly. Depending on the type of financial entity, the country it operates in, where it has branches, what type of clients they have, financial products and services they have, etc. they have to report certain information back to the corresponding regulators from time to time. That typically is monthly, quarterly and/or annually, as there are several different reports they need to file.