FATCA Go-Live & Submission
We take your FATCA reporting live: finalize files, submit to the relevant portals, track receipts/ACKs, manage authority queries, and coordinate any corrections/re-filings—with a clean audit trail and sign-offs.
Who it’s for
- Reporting entities that completed Dry-Run & Reconciliation and are ready to file.
- Teams that want controlled submissions, clear evidence, and timely handling of authority queries.
- Institutions coordinating FATCA with QI timelines and internal audit expectations.
Go-Live readiness checklist
Sign-offs & evidence
- Dry-run results & reconciliations accepted
- Build/controls sign-off completed
- Submission pack reviewed (four-eyes)
Portals & logistics
- Portal access/roles verified
- Submission windows & deadlines aligned
- Fallback window/timebox defined
Corrections readiness
- Pre-agreed corrections workflow
- Templates for ACKs & query logs
- Escalation contacts confirmed
Scope of work at go-live
Finalize & submit
- Freeze data cut & regenerate final files
- Last schema/consistency checks
- Portal submissions (EU/CH/LI/UK, etc.)
Receipts & queries
- ACKs/receipts tracking and storage
- Authority queries triage & responses
- Evidence screenshots/logs for audit trail
Corrections & re-filings
- Error root-cause & fix path
- Re-file with updated evidence
- Register of changes & sign-offs
How we work
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1) Freeze & verify
Lock data cut, rerun validations, and confirm reconciliations; prepare submission checklist and sign-off sheet.
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2) Submit & confirm
Execute portal submissions; capture ACKs/receipts; verify totals vs. reconciliations; record environment and timestamps.
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3) Handle queries
Coordinate responses to authority questions with SMEs; provide extracts and evidence; maintain a queries log.
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4) Correct & re-file (if needed)
Run corrections workflow, re-issue files, capture new ACKs, and update the audit trail and tie-outs.
Deliverables you receive
Submission Pack
Final files, portal receipts/ACKs, screenshot evidence, and sign-off sheet.
Queries & Corrections Log
Register of authority queries, actions taken, re-filings, and approvals.
Reconciliation Addendum
Post-submission tie-outs and variance notes, aligned to dry-run totals.
Options & combinations
- Independent or with Internal Audit: Evidence and logs aligned to your IA methodology.
- QI coordination: Align go-live windows, reuse evidence, and synchronize query handling.
- Extended hypercare: Post-submission monitoring and fast-track corrections window.
What’s next
Handover & Certification Support
Operating handbook, training, metrics/KRIs, RO brief check and certification support.
Voluntary FATCA Review (optional)
Independent, sampling-based review for added assurance and readiness.
Annual cycle hardening
Retrospective, controls tuning, and automation add-ons for next cycle.