Returns/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.

Type Form
Authorisation     Licence Application   Licence 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 )
Vetting  Personal Questionnaire
Role Change Notification
Notification of Money Transmission Services Notification of Money Transmission Services (Microsoft Word / Adobe PDF File)
Annual Regulatory Return (excludes class 8(1), 8(2)(b) and 8(3)) Returns Annual Regulatory Return: (Microsoft Word / Adobe PDF File)
Professional Officers’ Annual Regulatory Return: (Microsoft Word and Adobe PDF File)

Shuttle Returns

Incorporated Licenceholders Are you incorporated in the Isle of Man?
Yes No
Do you hold a Class 1 licence? Yes Checklist 1 Checklist 2
No Checklist 3 Checklist 4
Professional Officers Checklist 5
Audit Exception Checklist 6
Financial Returns and Calculations CLASS 1 Quarterly Prudential Returns Quarterly Prudential Returns Guidance
Branches
Incorporated banks
Lending Reporting Form
Quarterly BIS Returns BIS guidance notes
BIS template
Biannual DCS Returns Guide 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 Reporting Rule 6.72 - Provision of Statistical Information CIS 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 Report Clients’ Assets Report ('CAR') (Microsoft Word / Adobe PDF File)
Variant of Appendices C, D1, D2 and D3 (Microsoft Word / Adobe PDF File) (where CAR completed by an auditor)
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 Errors CIS error reporting form
Collective Investment Schemes Authorised Scheme Authorised Scheme Notification Form - Open-Ended Investment Companies
Authorised Scheme Notification Form - Unit Trust
Regulated Fund Initial 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 Fund Notification / alteration form - qualifying fund
Governing Body Responsibility Statement for a qualifying fund
Annual Compliance Return for a qualifying fund
Specialist Fund Notification / alteration form - specialist fund
Governing Body Responsibility Statement for a specialist fund
Annual Compliance Return for a specialist fund
Recognised Scheme Application 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
Templates Rule Book Registers Conflicts of Interest
Breaches
Complaints
CIS pricing errors (summary)
CIS pricing errors (single page)
AML/CFT Handbook Registers Appendix 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 I - Proforma Register of Internal Money Laundering and Financing of Terrorism Disclosures made to the MLRO or Deputy MLRO
Auditors Recognised Auditors Application Form
Recognised Individual Notification Form
Annual return form
Other Contact Details Licenceholder contact sheet
Licenceholder emergency contact sheet
Licenceholder emergency contact amendment sheet
Emergency contact personal details
Subordinated Loan Proforma subordinated loan agreement
Rule 6.62 - Services to overseas managers or administrators of schemes Notification Form – Providing Services to Overseas Managers or Administrators of Schemes