Filing & Submission Agent
Automate regulatory filing preparation and submission
Active Filings
4
Due This Month
3
Submitted YTD
23
On-Time Rate
100%
About This Agent
Data on This Page
Five filings (name, regulator, filing type, due date, status, completion %, last updated, assignee) split across Active and Submitted tabs, plus a Templates tab of five reusable regulator filing forms with last-used dates.
What This Agent Does
Automates preparation, progress-tracking and submission of regulatory filings across regulators, tracks percent-complete against due dates, routes completed filings into review, and logs on-time submission performance once filed.
Worked Examples
- Form ADV Part 2A (SEC, 75% complete, due Apr 15, 2025, assigned to John Smith) stays in the active queue with a progress bar tracking it toward review.
- MiFID II Best Execution Report (FCA) is 100% complete and in “review” status, so the agent surfaces the send action, ready for submission once reviewed.
- Form PF (SEC, 0% complete, Unassigned, due May 15) is flagged as at-risk since it has no owner despite sharing a due date with Form 13F.
| Filing | Regulator | Due Date | Progress | Status | Assignee | Actions |
|---|---|---|---|---|---|---|
Form ADV Part 2A Annual Update | SEC | Apr 15, 2025 | 75% | in progress | John Smith | |
CCAR Stress Test Annual Submission | Federal Reserve | Apr 30, 2025 | 45% | in progress | Risk Team | |
Form PF Quarterly Report | SEC | May 15, 2025 | 0% | not started | Unassigned | |
MiFID II Best Execution Report Annual Report | FCA | Apr 30, 2025 | 100% | review | Sarah Johnson |