Filing Manager
Focused content on Filing Manager (FM) workflows.
17 articles
Australia
Country-specific guidance on meeting disclosure requirements for the Australian Securities and Investments Commission (ASIC).
ASIC FIX Implementation
Preparing for ASIC Filing Manager Integration
ASIC FIX Workflow
Rejecting Results Before Sending Disclosures to ASIC
How to Send Filings to ASIC After Uploading Positions
Germany
Information on disclosure rules and processes for BaFIN and the Federal Gazette.
Setting Up Username, Password and BaFin_ID in Filing Manager BaFin
How to Submit Federal Gazette Filings Using Filing Manager
Setting Up Username, Password and BaFin_ID in Filing Manager Federal Gazette
Hong Kong
Steps to comply with the disclosure rules set by the Hong Kong Securities and Futures Commission (SFC).
How to Prepare for 1-Click Filing to The SFC
How to Add a Reporting Person for SFC Short Position Forms
Rejecting Results Before Sending Disclosures to the SFC
How to Send Data to the SFC After Uploading a Positions File
Singapore
Reporting and disclosure instructions for the Monetary Authority of Singapore (MAS).
Setting Up MAS Credentials in Filing Manager
Sweden
Guidance on meeting Swedish regulatory requirements, including disclosures for FISE.
Setting up Filing Manager FISE and Understanding the Workflow
United Kingdom
Guidance for submitting required reports and disclosures to the UK Financial Conduct Authority (FCA).
Setting Up Credentials and MFA in Filing Manager FCA
United States
Reporting and disclosure instructions for the Securities & Exchange Commission (SEC).
Using the Filing Manager for SEC Disclosures
How to Submit the 13F Report via the Filing Manager