RFI Registration - Single RFI reporting to multiple RAs

Scenario: I am a Single Financial Institution reporting to a multiple Regulatory Authority. How do I register?

Please register as normal for one Regulatory Authority using the instructions contained in the following Guide document.

Single RFI reporting to single RA

In order to complete a Registration for a second Regulatory Authority, you will need to set up a new Group. A Financial Institution with the same Name and / or GIIN cannot be registered in the same Group.

The process is as follows:

RFI registration for the first Regulatory Authority

• Create a group and set up the users (you may wish to include the name of the Regulatory Authority in the Group name)

• Add a new Entity / Financial Institution

• Select one of the Regulatory Authorities

• Complete the Registration form and Submit for Checking

• The Registration form is Checked by the Checker and forwarded to the Regulatory Authority you selected for Authorisation

RFI registration for the second or more Regulatory Authorities

• Create another group and set up the users (the users can be the same as the first group) (you may wish to include the name of the Regulatory Authority in the Group name)

• Add a new Entity / Financial Institution

• Select the next Regulatory Authorities that you report to

• Complete the Registration form and Submit for Checking

• The Registration form is Checked by the Checker and forwarded to the Regulatory Authority you selected for Authorisation

Submission of files

Note: When you submit the files for reporting purposes, there will need to be a separate file for each Regulatory Authority.