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Regulatory Reporting
Domain ID D07
Owner Chief Financial Officer / Chief Risk Officer
Jurisdiction NZ + AU
Applicability Platform — SD06 delivers the prudential return builder (MOD-036) and AML reporting pipeline (MOD-037). SD03 delivers regulatory report submission (MOD-019). The platform generates the reports; in Track 2 the tenant signs off and lodges with their regulator.

Timely and accurate submission of all prudential, statistical, and conduct reports to RBNZ, APRA, AUSTRAC, and other regulators.

Key submission cadences

  • RBNZ BS-series prudential returns: monthly
  • APRA ARS returns: monthly (capital), quarterly (full prudential)
  • AUSTRAC IFTI submissions: within 10 business days of qualifying transfer
  • AUSTRAC annual compliance report: annually
  • RBNZ AML supervisory annual return: annually
  • Statutory financial statements: annually

Policies

Code Policy name Status
REP-001 Regulatory Reporting Policy Draft
REP-002 Prudential Reporting Policy Draft
REP-003 AML Compliance Reporting Policy Draft
REP-004 Financial Statements Policy Draft
REP-005 Data Quality & Assurance Policy Draft
REP-006 Regulatory Change Management Policy Draft

Systems satisfying this domain

  • MOD-036: Prudential return builder — AUTO/CALC (RBNZ + APRA returns)
  • MOD-037: AML reporting pipeline — AUTO (AUSTRAC + RBNZ AML)
  • MOD-038: Data quality monitor — GATE (pre-submission check)
  • MOD-032: LCR/NSFR calculator — CALC (liquidity returns)
  • MOD-033: RWA & capital ratio engine — CALC (capital returns)

Policies in this domain

Code Title Status Owner
REP-001 Regulatory Reporting Policy Draft Chief Financial Officer
REP-002 Prudential Reporting Policy Draft Chief Financial Officer
REP-003 AML Compliance Reporting Policy Draft Chief Compliance Officer
REP-004 Financial Statements Policy Draft Chief Financial Officer
REP-005 Data Quality & Assurance Policy Draft Chief Technology Officer
REP-006 Regulatory Change Management Policy Draft Chief Compliance Officer
REP-007 DCS & Depositor Reporting Policy Draft Chief Financial Officer
REP-008 Statistical & survey reporting Draft Chief Financial Officer
REP-009 Regulatory incident & breach notification Draft Chief Compliance Officer
REP-010 Credit reporting & bureau submission Draft Chief Compliance Officer
REP-011 Tax & information reporting (FATCA/CRS/AEOI) Draft Chief Financial Officer

Compiled 2026-05-22 from source/entities/risk-domains/D07.yaml