Reporting Requirements
Licenceholders licensed POST-1.8.08 only
THIS PAGE APPLIES TO ALL POST-1.8.08 LICENCEHOLDERS, EXCEPT IN RELATION TO CLASS 6 ACTVITIES.
PLEASE NOTE THAT (UNTIL 1ST JANUARY 2009) THIS PAGE DOES NOT APPLY TO ANY BUSINESS WHICH WAS A LICENCEHOLDER ON 31ST JULY 2008.
Regulatory reporting requirements
Part 2 — FINANCIAL RESOURCES AND REPORTING of the Financial Services Rule Book 2008 specifies reporting requirements for all POST-1.8.08 licenceholders.
In addition, the following links are to timetables of reporting requirements for each Class of licenceholder. Businesses holding licences to conduct more than one Class of regulated activity will need to refer to all relevant tables:
Reporting and record maintenance requirements
The attached table of reporting requirements covers regular reporting requirements for all regulated activities.
The attached Rule book obligations to maintain policies, Rule book consent and notification summary table, and Rule book obligations to keep registers summarise the requirements indicated for the assistance of licenceholders.
Please note these tables are not legal documents, but are produced by the Commission to assist licenceholders to comply with Part 2 — FINANCIAL RESOURCES AND REPORTING of the Financial Services Rule Book 2008.
It is a licenceholder’s responsibility to ensure their regulatory returns are submitted and received by the Financial Supervision Commission before the end of the submission period. Submission dates for the regulatory returns are detailed in the individual rules.
Civil Penalties
Licenceholders are subject to civil penalties if financial returns are not submitted on time. Penalties are based on length of delay and frequency of late submission of financial returns. Please see the Financial Services (Civil Penalties) Regulations 2008.
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