All firms authorized by the FCA are required to submit periodic financial and other returns through GABRIEL and also via other dedicated FCA portals and methods. Firms subject to the Capital Requirements Directive also need to submit COREP returns using the XBRL format.
We provide regulatory consultancy advice to a wide range of firms such as hedge fund managers, retail wealth managers, private equity firms, institutional stock brokers and corporate finance advisers.
Duff & Phelps provides support to firms to ensure they complete and return the required information in line with FCA expectations. Examples of assistance we can provide include:
- Financial/Prudential Data Items via GABRIEL (including regulatory capital, liquidity and business returns)
- Reporting under COREP and FINREP and advice concerning appropriate XBRL providers
- Applications and notices via the FCA’s ONA system
- Fees returns
- Annual close links and controller reports
- Transaction reporting
- Client Money and Assets returns
- Transparency returns (e.g. DTR notifications of large holdings)
- Notification of short positions