Ongoing Supervision and Thematic Reviews

Ongoing Supervision

Documents and Forms - Ongoing Supervision

Guidance on Completion of Form AM 154KB
126b - Multi-scheme Pension Provider Quarterly Return 216.4KB
133 - Regulatory Solvency Assessment - v.3.0 376.1KB -
2011 Seminar - Insurance Presentation by Dr J Quick 536.7KB
2011 Seminar - Insurers and Managers Presentation by C Bradley 232.1KB
2011 Seminar - Intermediary Presentation by J Dunford 151KB
2019 Q4 - Detailed Service Report 14.1KB -
2019 Q4 - Summary Report 6.9KB -
2020 Q1 - Detailed Service Report 14.2KB -
2020 Q1 - Summary Report 6.9KB -
Acceptable Level 4 Qualifications Table 138.8KB -
Actuary Declaration - New Insurance Product or Fund 16.3KB
AIFMD (Marketing) Rules 2013 304.8KB
AIFMD Rules Consultation Feedback Statement 157KB
AIFMD-Consultation-Paper 175.6KB
AML/CFT and Financial Crime Training - A Thematic Review 1MB
Bank Stress Test 2014 396.9KB
Basel II ICAAP Paper Oct 2007 85.8KB
Basel II Pillar 2 Assessment Framework Jun 2008 57.2KB
Basel II Triparty Credit Risk Paper Nov 2007 74.2KB
Basel II Triparty Market, Interest, & Settlement Risk Paper Nov 2007 100.6KB
Basel II Triparty Operational Risk Paper May 2007 173KB
BSL2 Subsidiaries 1.4MB
Business Plan 77KB
CISI Presentation 25 June 2015 - GFAS - Qualified & Competent 521.3KB
Commission response to the second GFAS consultaton 782.5KB
Consultation Paper on Guidance Notes for Pricing controls in respect of Open Ended Collective Investment Schemes 45.7KB
Consultation Paper on The AIFMD Rules, 2013 419KB
Corporate Governance Assurance Statement 11.3KB
Data Security Review February 2012 - A Thematic Report on Practices within the Banking Sector of the Bailiwick of Guernsey 299.4KB
Enforcement Consultation Paper - Discretionary Penalties 286.1KB
Excerpt of the German Investment Code (KAGB) - Convenience Translation 233.7KB
Feedback on the Consultation Paper on The Code of Conduct for Authorised Insurance Representatives 1.4MB -
Feedback Presentation on the Revision of Laws Consultation (June 2015) 342.7KB
Feedback to the Consultation on the Implentation of the Guernsey Financial Advice Standards 149KB
Fiduciary Annual Returns Guidance Notes 268.9KB
Finance Industry and Policy Working Party Review of Investment Sector Legislation and Regulation 1.5MB
Financial Crime Powerpoint - Moneyval Feedback 63.9KB
Financial Crime Risk Intermediary AR Spreadsheet 0.9MB -
Financial Crime Risk Intermediary Return – Guidance 514.2KB -
Firm Foundations Conference Presentations 1.2MB
Form AM 162.5KB
Form FA 2015 (Financial Adviser Notification) 15.9KB
Form NST 268.5KB
Form NST - 2016 413.9KB
Form NST Guidance 168KB -
GFAS Media Statement (F).pdf 297.9KB
Guidance Note - Decision Making Process - September 2014 165.3KB
Guidance Note - Manager Led Product.pdf 312.4KB
Guidance notice for notifications to market foreign AIFs to German retail investors- Convenience Translation 547.8KB
IMF 2011: Detailed Assessment of Observance on Basel Core Principles 0.9MB
IMF 2011: Detailed Assessment of Observance on Insurance Core Principles 583.7KB
IMF 2011: Detailed Assessment Report on Anti-Money Laundering and Combating the Financing of Terrorism 3.5MB
IMF 2011: Financial System Stability Assessment - Update 584.3KB
IMF 2011: Report on Observance of Standards and Codes - FATF Recommendations for Anti-Money Laundering and Combating the Financing of Terrorism 495.6KB
IMF 2011: Technical Note on Stress Testing: Banking and Insurance 488.5KB
Implementation of Guernsey Financial Advice Standards 164.6KB
Independent Evaluation Review Terms of Reference 150.5KB
Industry Presentations 2015 - Save the Date 123.9KB
Insurer Regulation - Media Statement(F).pdf 287.8KB
International Negotiations 42KB
Investment Designated Manager Quarterly Return - Form Guidance Notes 214.2KB -
Investment Designated Manager Quarterly Return - Technical Guidance Notes 228.8KB -
Investment Quarterly Return 145 - Guidance Notes 459.1KB
Investor Type and Location Data Workbook 289.9KB -
IoD Article - W Mason July/August 2013 75.6KB
LCF Discussion Paper 903.4KB
Manager Led Product Consultation Paper 178.5KB
MIFID II Overview Summary.docx 75.7KB
MiFID ii Slides - 16 September 2014 3MB
Moneyval-feedback-2016-clean 265.8KB
PCC Solvency Summary 132.9KB -
Pension Scheme and Gratuity Scheme Annual Return Guidance 483.9KB -
Pension Scheme or Gratuity Scheme Annual Return spreadsheet 1.5MB -
Personal Fiduciary - Regulated Activities Confirmation Form 4.5KB -
PQ Guidance Note 319.1KB
Pricing controls in respect of Open Ended Collective Investment Schemes 76.1KB
Pricing controls in respect of Open Ended Collective Investment Schemes - Final black-lined version 84.7KB
Pricing controls in respect of Open Ended Collective Investment Schemes - Final version.pdf 76KB
Quarterly Banking statistics Q1 2014 428.5KB
Quarterly Banking statistics Q1 2015 381.9KB
Quarterly Banking statistics Q1 2016 451.6KB
Quarterly Banking statistics Q2 2014 431KB
Quarterly Banking statistics Q2 2015 388.2KB
Quarterly Banking statistics Q2 2016 394KB
Quarterly Banking statistics Q3 2014 433.6KB
Quarterly Banking statistics Q3 2015 387.8KB
Quarterly Banking statistics Q4 2013 418.7KB
Quarterly Banking statistics Q4 2014 437.1KB
Quarterly Banking statistics Q4 2015 385.4KB
Regulated Activities Confirmation Form 27.5KB -
Romania - Art 10 Executive Order no 9-2012.docx 13.2KB
Romania - Art 176 Regulation no 15-2004.docx 11.1KB
Romania - Art 176 Regulation No. 15-2004 20.6KB -
Service Report statistics Apr-Jun 14 30.2KB
Service Report Statistics Apr-Jun 15 14KB
Service Report Statistics Apr-Jun 17 13.4KB -
Service Report Statistics Jan Mar-14 30.2KB
Service Report Statistics Jan-Mar 15 4.1KB
Service Report Statistics Jan-Mar 16 49.9KB
Service Report Statistics Jan-Mar 17 13.4KB -
Service Report Statistics Jan-Mar 18 12.2KB -
Service Report Statistics Jul-Sep 13 28KB
Service Report Statistics Jul-Sep 17 13.5KB -
Service Report Statistics Jul-Sep 18 12KB -
Service Report Statistics Oct-Dec 13 30.2KB
Service Report Statistics Oct-Dec 15 30.2KB
Service Report Statistics Oct-Dec 16 13.3KB -
Service Report Statistics Oct-Dec 17 5.5KB -
Service Report statistics summary 2Q13v2.pdf 28.5KB
Service Standards Report Apr 14 - Jun 14 193.3KB
Service Standards Report Apr-Jun 15 150.3KB
Service Standards Report Apr-Jun 16 145.8KB
Service Standards Report Apr-Jun 17 561.2KB -
Service Standards Report Jan-Mar 15 33.9KB
Service Standards Report Jan-Mar 16 145.3KB
Service Standards Report Jan-Mar 17 560.7KB -
Service Standards Report Jan-Mar 18 560.6KB -
Service Standards Report Jul-Sep 13 373.3KB
Service Standards Report Jul-Sep 17 561.1KB -
Service Standards Report Jul-Sep 18 625KB -
Service Standards Report Oct-Dec 13 189.9KB
Service Standards Report Oct-Dec 15 403.5KB
Service Standards Report Oct-Dec 16 561.7KB -
Service Standards Report Oct-Dec 17 561KB -
Service-Standards-Report-Jan-Mar-14 193.2KB
Solvency II Position Statement 231.4KB
Standard Condition (Long Term Business) 11.4KB
Submission Letter to the Basel Committee Regarding Banking Liquidity 405.8KB
Summary of the Issue of the Harwood Report to the Investment Sector 35.3KB
The AIFMD Rules 2013 851.5KB
The AIFMD Rules 2013 (consultation draft) 850.1KB
The Handbook on Countering Financial Crime & Terrorist Financing - A New Edition 308.8KB -
The Uncertificated Securities (Guernsey) Regulations, 2009 44.9KB -
Website Service Standards Report Apr-Jun 13v2 - clean.pdf 359KB