Financial, Regulatory and Tax Reporting


Effective financial, regulatory and tax reporting capabilities are critical to maintaining the robust health of a financial institution, ensuring businesses stay ahead of deadlines by providing useful information to relevant stakeholders.

Our global solutions assist you in adhering to increasingly complex reporting and compliance requirements in a timely and consistent manner. We are committed to listening to your challenges, understanding your needs, and sharing our industry knowledge and expertise.

Financial reporting
We are positioned to provide financial reporting services across a broad spectrum of fund types and handle a wide range of asset classes. Our global operational model gives us the consistency, scale and flexibility to take on the challenges associated with the increased regulatory and oversight burdens fund sponsors experience. Our advanced proprietary data sourcing and augmentation processes and use of standard technologies limit manual intervention and mitigate risk.
We can manage the entire lifecycle of the reporting process – from pre-draft planning coordination to draft production and audit management, to post-cycle reviews and process analysis. Our interactive, web-based user interface facilitates delivery and review of drafts, and approvals, and provides dashboard of cycle statuses.

Regulatory reporting
We offer a range of reports for regulators and other governmental agencies that have oversight requirement of fund products and institutional investors. Key examples of our regulatory reporting services include:

  • US reporting (SEC-Mod, N-MFP, TIC SHCA, 13-F)
  • Shareholder transparency reporting (PRIIPs KID, UCITS KIID, MiFID)
  • Liquidity risk management (MMFR, Solvency II)
  • Alternatives (AIFMD Annex IV, CPO-PQR, PF)
  • In-country specifics (CSSF/BCL, CBI, APRA, ASIC)

Tax reporting
We offer income tax services covering a broad range of products across the globe. Our income tax services include preparation of tax provisions, tax filings at federal, state and municipal levels, supporting investor reporting for issuance of tax slips and preparation of excise tax estimates, where applicable. We also offer various ad hoc tax work based upon our service agreement. Our tax service offering includes commodity tax compliance work in Canada, FATCA and CRS reporting where applicable, supporting investor tax in EMEA markets and Super Funds, Alternatives and Private Equity in the APAC region.

Within the North America 40 Act Fund and Alternative product space, we have partnered with KPMG and Grant Thornton to assist in the preparation of tax work. This partnership provides our clients with expanded technology resources and accredited tax professionals in carrying out our service commitments.

Why State Street

With decades of experience in all facets of asset servicing, our financial professionals cover the entire funds industry with expertise across a number of specializations such as administration, investment operations, financial reporting, regulatory reporting, tax reporting and trade reporting. Our team comprises many professional accountants, as well as qualified finance and compliance officers to assist you with comprehensive and timely reports.

By the Numbers

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