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regulatory reporting checklist
Data Collection and Preparation
Identify all relevant data sources required for reporting.
Verify data accuracy and completeness from each source.
Ensure data is consistent with regulatory requirements.
Standardize data formats for seamless integration.
Document data collection and preparation process.
Compliance Verification
Review regulatory requirements for updates or changes.
Cross-check data against compliance checklists.
Ensure all compliance documentation is up-to-date.
Conduct a compliance risk assessment.
Establish a point of contact for compliance inquiries.
Report Compilation and Submission
Compile data into the required reporting format.
Review reports for accuracy and completeness.
Obtain necessary approvals from internal stakeholders.
Submit reports through the appropriate regulatory channels.
Archive submitted reports and confirmation of submission.
Post-Submission Activities
Review feedback from regulatory bodies.
Update internal records with submission details.
Conduct a debrief with the reporting team.
Plan for addressing any identified issues in future reports.
Schedule the next reporting cycle activities.
