Crest
Isle of Man Government
Reiltys Ellan Vannin
Isle of Man Government Crest

I.O.M.F.S.A

Forms

The table below provides a consolidated list of all the forms and templates relevant to licenceholders under the Financial Services Act 2008. It includes those forms that the Isle of Man Financial Services Authority (“the Authority”) has specified under the Financial Services Rule Book. Guidance for the completion of forms is included, where available.

The Authority encourages licenceholders to refer to the Legislation and guidance for licenceholders and Compliance Support pages of the website for further information relevant to specific Classes of regulated activity.

 TypeForm
Authorisation Licence ApplicationLicence Application Form (Microsoft Word / Adobe PDF File)
Professional Officer Application Form (Microsoft Word / Adobe PDF File)
Representative Office licence application form (Class 1(3) only) (Microsoft Word / Adobe PDF File )
VettingPersonal Questionnaire
Role Change Notification
Notification of Money Transmission ServicesNotification of Money Transmission Services (Microsoft Word / Adobe PDF File)
Annual Regulatory Return (excludes class 8(1), 8(2)(b) and 8(3))ReturnsAnnual Regulatory Return: (Microsoft Word / Adobe PDF File)
Professional Officers’ Annual Regulatory Return: (Microsoft Word and Adobe PDF File)

Shuttle Returns Up to 31/12/16 year-ends. For annual reporting dates on or after 01.01.2017 click here.

Incorporated LicenceholdersAre you incorporated in the Isle of Man?
YesNo
Do you hold a Class 1 licence?YesChecklist 1Checklist 2
No Checklist 3Checklist 4
Professional OfficersChecklist 5
Audit ExceptionChecklist 6
Financial Returns and CalculationsCLASS 1Quarterly Prudential ReturnsQuarterly Prudential Returns Guidance
Branches
Incorporated banks
Quarterly BIS ReturnsBIS guidance notes
BIS template
Biannual DCS ReturnsGuide for DCS data
DCS data spreadsheet
ALL CLASSES (excluding Class 1, Class 8(1), 8(2)(b), 8(3) and professional officers)Procedural Instructions for financial returns
Financial Resources Requirements (FRR) Spreadsheet
CLASS 8(2)(a)Class 8(2)(a) quarterly return
Guidance
Other ReportingRule 6.72 - Provision of Statistical InformationCIS statistics reporting spreadsheet to provide statistical information. The spreadsheet should be returned within 15 business days after the end of each calendar quarter.
Class 4 licenceholders which provide services to closed ended investment companies also use the CIS statistics reporting spreadsheet to provide statistical information. The closed ended investment company tab should be completed and returned within 15 business days after the end of each calendar quarter.
Class 2 investment managers and stockbrokers and Class 3 asset managers and custodians/trustee use the Class 2 and 3 statistics reporting spreadsheet to provide statistical information on a six-monthly basis. The spreadsheet should be returned within 15 business days of the last day of June and December.
Class 8(1) 8(2)(b) and 8(3) should use this template to provide statistical information on an annual basis. The return must be completed as at the annual reporting date and must be submitted within four months.
Rule 8.23 - Clients’ Assets ReportClients’ Assets Report (Microsoft Word / Adobe PDF File)
Rule 8.57 - Professional indemnity insurance
Rule 9.24 - Professional indemnity insurance
PII Confirmation Form (Microsoft Word / Adobe PDF File)
PII Run-off Confirmation Form (Microsoft Word / Adobe PDF File)
Rule 8.60 - Pricing ErrorsCIS error reporting form
Collective Investment SchemesAuthorised SchemeAuthorised Scheme Notification Form - Open-Ended Investment Companies
Authorised Scheme Notification Form - Unit Trust
Regulated FundInitial request to act as manager of a regulated fund
Detailed request to act, or continue to act, as manager of a regulated fund
Governing Body Responsibility Statement for a regulated fund
Annual Compliance Return for a regulated fund
Qualifying FundNotification / alteration form - qualifying fund
Governing Body Responsibility Statement for a qualifying fund
Annual Compliance Return for a qualifying fund
Specialist FundNotification / alteration form - specialist fund
Governing Body Responsibility Statement for a specialist fund
Annual Compliance Return for a specialist fund
Recognised SchemeApplication Form - Recognition of a Scheme under Schedule 4 Para 2, CIS Act
Notification Form - a Scheme Recognised by virtue of Schedule 4 Para 1, CIS Act
Experienced Investor Fund (Legacy and Closed EIF)Annual Compliance Declaration
Responsibility Statement
Experienced Investor Fund (Qualifying Type EIF) Annual Compliance Declaration
EIF Responsibility Statement
TemplatesRule Book RegistersConflicts of Interest
Breaches
Complaints
CIS pricing errors (summary)
CIS pricing errors (single page)
AML/CFT Handbook RegistersAppendix J - Proforma Register of External Money Laundering and Financing of Terrorism Disclosures made to the FCU
Appendix K - Proforma Register of Money Laundering and Financing of Terrorism Enquiries
Appendix L - Proforma Register of Internal Money Laundering and Financing of Terrorism Disclosures made to the MLRO or Deputy MLRO
AuditorsRecognised AuditorsApplication Form
Recognised Individual Notification Form
Annual return form
OtherContact DetailsLicenceholder contact sheet
Emergency contact amendment sheet
Emergency contact personal details
Licenceholder emergency contact sheet
Subordinated LoanProforma subordinated loan agreement