Obligations
Filings
Recurring and event-driven filings owed to supervisors, with format, destination and owner.
| Ref | Filing | Frequency | Send to | Format | Owner | Status |
|---|---|---|---|---|---|---|
| F-7001 | Annual AML compliance report Compass Bank SA | Annual · 31 May | CSSF | Claire Dubois | Active | |
| F-7002 | Suspicious transaction and order reports (STOR) Compass Securities LLC | At time of event | AMF | XML | Sofia Martins | Active |
| F-7003 | Monthly complaints return Compass Bank SA · Compass Asset Management Ltd | Monthly · 15-day window | CSSF | XLSX | Thomas Becker | Draft |