SERVICES
Regulatory filings and reporting
Support with recurring regulatory filings, reporting obligations and submission processes for investment and asset management firms.
Keeping regulatory reporting organised, accurate and on time
Regulatory filings and reporting obligations can quickly become difficult to manage as a firm grows, adds new activities or operates across more than one framework. Deadlines, data, approvals and supporting records need to be organised in a way that gives senior management confidence.
Catapalt helps firms maintain clear reporting calendars, prepare recurring submissions and manage the evidence needed to support regulatory filings and reporting processes.
WHAT WE SUPPORT
Practical support for recurring filings and reporting obligations
Regulatory reporting works best when deadlines, data, approvals and supporting records are organised before they become urgent. Catapalt helps firms manage filing obligations in a structured, repeatable and evidenced way.
Regulatory reporting calendars
Maintaining visibility of recurring filing obligations, submission deadlines, internal review points and approval timelines.
Submission preparation
Supporting the preparation, coordination and review of regulatory submissions so information is organised, complete and consistent.
Form ADV and adviser reporting
Helping firms manage adviser-related reporting obligations, including Form ADV updates, amendments and supporting records where relevant.
FCA returns and notifications
Supporting UK regulatory returns, notifications and related reporting processes in line with the firm’s permissions, activities and obligations.
Data, records and evidence
Helping firms organise the information, approvals and records needed to evidence how regulatory reporting has been prepared and reviewed.
Issue tracking and follow-up
Supporting follow-up actions where filings identify gaps, changes, corrections or further compliance work.
JURISDICTION COVERAGE
Reporting obligations across UK and US frameworks
Catapalt supports investment and asset management firms with regulatory filings and reporting obligations across UK and US frameworks, helping firms manage deadlines, submissions, records and follow-up actions.
United Kingdom
For firms operating under the UK regulatory framework, support may include FCA returns, regulatory notifications, permissions-related reporting, governance reporting and the records needed to evidence preparation and review.
- FCA returns and notifications
- Regulatory reporting calendars
- Governance and senior management reporting
- Permissions-related updates
- Records, approvals and evidence
United States
For firms operating under US regulatory frameworks, support may include adviser reporting, Form ADV updates and amendments, CFTC or NFA-related filings where relevant, reporting calendars and books and records support.
- Form ADV updates and amendments
- Adviser reporting support
- CFTC and NFA-related filings
- Reporting calendars and review points
- Books and records evidence
HOW CATAPALT WORKS
A structured approach to deadlines, submissions and evidence
Regulatory filings are easier to manage when responsibilities, timelines and records are clear. Catapalt helps firms turn filing obligations into a repeatable process that supports accuracy, review and senior management oversight.
01
Map the obligations
We start by identifying the relevant filing obligations, reporting deadlines, data requirements, review points and approval responsibilities.
02
Prepare and coordinate
We help organise the information, records and internal inputs needed to prepare submissions and support timely review.
03
Track follow-up actions
We support documentation, submission records and any follow-up actions needed after filings are prepared, reviewed or submitted.
COMMON TRIGGERS
When firms typically need filings and reporting support
Firms usually seek support when reporting obligations are becoming harder to track, deadlines are approaching, or internal teams need more structure around preparation, review and evidence.
- Recurring filing deadlines need clearer ownership
- The firm is preparing Form ADV updates or amendments
- FCA returns or notifications need coordination
- Reporting obligations have increased as the firm has grown
- Data, approvals or records are spread across different teams
- Senior management wants clearer visibility of filing status
- A submission has identified follow-up actions or gaps
- The firm is preparing for investor, board or regulatory scrutiny
Need clearer control over regulatory filings and reporting?
Tell us which filings, frameworks or reporting obligations you need to manage. We will help you organise the deadlines, records and practical steps needed to keep the process clear and evidenced.