Returns/Forms

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)

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 )
Vetting  Personal Questionnaire
Role Change Notification
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 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 3 months 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.