Returns/Forms
This page does not apply to Class 9 licenceholders under the Financial Services Act 2008.
Under the headings below there are links to 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 | |||||
| Returns | Annual Regulatory Return: (Microsoft Word / Adobe PDF File) | |||||
| Professional Officers’ Annual Regulatory Return: (Microsoft Word and Adobe PDF File) | ||||||
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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 | |||||
| Type | Form | |||||
| 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 ) | ||||||
| Assessment of Fitness and Propriety ('F&P') | F&P1 Individual Questionnaire | |||||
| F&P2 Notification Only Form | ||||||
| F&P3 Controller Questionnaire (for Controlled Functions R1) | ||||||
| F&P4 Intermediate Controller Notification Form (for Controlled Function R3) | ||||||
| F&P5 Controlled Function Cessation Form | ||||||
| Notification of Money Transmission Services | Notification of Money Transmission Services (Microsoft Word / Adobe PDF File) | |||||
| Type | Form | ||||||
| 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) | |||||||
| Type | Form | |||||
| 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 | ||||||
| Subordinated Loan | Proforma subordinated loan agreement | |||||
| Type | Form | |||||
| Contact Details | Licenceholder contact sheet | |||||
| Licenceholder emergency contact sheet | ||||||
| Licenceholder emergency contact amendment sheet | ||||||
| Emergency contact personal details | ||||||
| Online Reporting System User Manual | Online Reporting System User Manual | |||||
| Rule 8.57 - Professional indemnity insurance | PII Confirmation Form (Microsoft Word / Adobe PDF File) | |||||
| Rule 9.24 - Professional indemnity insurance | PII Run-off Confirmation Form (Microsoft Word / Adobe PDF File) | |||||
| Type | Form | |||||
| Rule Book Registers | Conflicts of Interest | |||||
| Breaches | ||||||
| Complaints | ||||||
| CIS pricing errors (summary) | ||||||
| CIS pricing errors (single page) | ||||||
| Type | Form | ||||||
| Rule 6.72 - Provision of Statistical Information | Class 1 licenceholders are notified by the Authority of requirements for statistical returns and Bank of International Settlements (“BIS”) returns. BIS returns are submitted using the attached template: BIS template and BIS guidance notes. A user guide for BIS reporting on the Financial Reporting System can be found here. | ||||||
|
Class 1 licenceholders should use this spreadsheet to provide Financial Flow Statistics on a quarterly basis. The spreadsheet should be returned within 1 month of each calendar quarter-end. Guidance for the Financial Flows Return. |
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| Class 1 licenceholders who have been classified as a D-SIB should use this template to complete the Banking Conditions Survey on a quarterly basis. The survey should be returned within 1 month of each calendar quarter-end. | |||||||
| 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 3 fund managers and administrators provides statistical information via the Authority's online reporting portal. Here is a template CIS statistics reporting spreadsheet. The statistics should be submitted 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 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. | |||||||
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All licenceholders, except representative offices of foreign banks (class 1(3) regulated activity), professional officers, and those firms that only conduct class 8(1) (bureau de change) and / or class 8(2)(b) (payment services as agent) regulated activity, are required to provide AML/CFT statistical information on annual basis, using the template below. The return must be completed for each calendar year and be submitted within 6 months (i.e. by 30 June). |
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