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Ongoing Supervision and Thematic Reviews

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Ongoing Supervision

Documents and Forms - Ongoing Supervision
2011 Seminar - Insurance Presentation by Dr J Quick 496KB
2011 Seminar - Insurers and Managers Presentation by C Bradley 218KB
2011 Seminar - Intermediary Presentation by J Dunford 141KB
Acceptable Level 4 Qualifications Table 139KB - 12th March 2019
Actuary Declaration - New Insurance Product or Fund 21KB
The AIFMD Rules 2013 676KB
The AIFMD Rules 2013 (consultation draft) 675KB
AIFMD (Marketing) Rules 2013 276KB
AIFMD Rules Consultation Feedback Statement 151KB
AIFMD-Consultation-Paper 164KB
AML/CFT and Financial Crime Training - A Thematic Review 880KB
Authorised Insurance Representative Notification Form 21KB
Bank Stress Test 2014 374KB
Basel II ICAAP Paper Oct 2007 84KB
Basel II Pillar 2 Assessment Framework Jun 2008 56KB
Basel II Triparty Credit Risk Paper Nov 2007 72KB
Basel II Triparty Market, Interest, & Settlement Risk Paper Nov 2007 99KB
Basel II Triparty Operational Risk Paper May 2007 171KB
BSL2 Subsidiaries 710KB
Business Plan 78KB
CISI Presentation 25 June 2015 - GFAS - Qualified & Competent 497KB
Commission response to the second GFAS consultaton 691KB
Consultation Paper on Guidance Notes for Pricing controls in respect of Open Ended Collective Investment Schemes 44KB
Consultation Paper on The AIFMD Rules, 2013 398KB
Corporate Governance Assurance Statement 14KB
Enforcement Consultation Paper - Discretionary Penalties 266KB
Excerpt of the German Investment Code (KAGB) - Convenience Translation 218KB
Feedback on the Consultation Paper on The Code of Conduct for Authorised Insurance Representatives 1MB - 7th March 2017
Feedback Presentation on the Revision of Laws Consultation (June 2015) 431KB
Feedback to the Consultation on the Implentation of the Guernsey Financial Advice Standards 147KB
Finance Industry and Policy Working Party Review of Investment Sector Legislation and Regulation 2MB
Financial Crime Powerpoint - Moneyval Feedback 65KB
Financial Crime Risk Return - A Guide for Firms 692KB
Financial Crime Risk Intermediary Return – Guidance 514KB - 20th February 2020
Financial Crime Risk Intermediary AR Spreadsheet 930KB - 20th February 2020
Firm Foundations Conference Presentations 1MB
Form AM 164KB
Form FA 2015 (Financial Adviser Notification) 21KB
Form NST 270KB
Form NST - 2016 333KB
Form NST Guidance 170KB - 5th October 2016
GFAS Media Statement (F).pdf 294KB
Guidance Note - Decision Making Process - September 2014 139KB
Guidance Note - Manager Led Product.pdf 295KB
Guidance notice for notifications to market foreign AIFs to German retail investors- Convenience Translation 423KB
Guidance on Completion of Form AM 164KB
IMF 2011: Detailed Assessment of Observance on Basel Core Principles 947KB
IMF 2011: Detailed Assessment of Observance on Insurance Core Principles 587KB
IMF 2011: Detailed Assessment Report on Anti-Money Laundering and Combating the Financing of Terrorism 2MB
IMF 2011: Financial System Stability Assessment - Update 587KB
IMF 2011: Report on Observance of Standards and Codes - FATF Recommendations for Anti-Money Laundering and Combating the Financing of Terrorism 441KB
IMF 2011: Technical Note on Stress Testing: Banking and Insurance 491KB
Implementation of Guernsey Financial Advice Standards 147KB
Independent Evaluation Review Terms of Reference 158KB
Industry Presentations 2015 - Save the Date 121KB
Insurer Regulation - Media Statement(F).pdf 284KB
International Negotiations 50KB
Investment Designated Manager Quarterly Return - Form Guidance Notes 214KB - 1st October 2020
Investment Designated Manager Quarterly Return - Technical Guidance Notes 229KB - 1st October 2020
Investment Quarterly Return 145 - Guidance Notes 459KB
IoD Article - W Mason July/August 2013 73KB
LCF Discussion Paper 744KB
Manager Led Product Consultation Paper 222KB
MIFID II Overview Summary.docx 103KB
MiFID ii Slides - 16 September 2014 3MB
Moneyval-feedback-2016-clean 262KB
PCC Solvency Summary 133KB - 27th March 2018
Pension Scheme and Gratuity Scheme Annual Return Guidance 484KB - 27th March 2020
Pension Scheme or Gratuity Scheme Annual Return spreadsheet 1MB - 24th December 2018
PQ Guidance Note 319KB
Pricing controls in respect of Open Ended Collective Investment Schemes 74KB
Pricing controls in respect of Open Ended Collective Investment Schemes - Final black-lined version 83KB
Pricing controls in respect of Open Ended Collective Investment Schemes - Final version.pdf 74KB
Quarterly Banking statistics Q1 2014 316KB
Quarterly Banking statistics Q1 2015 305KB
Quarterly Banking statistics Q1 2016 328KB
Quarterly Banking statistics Q2 2014 317KB
Quarterly Banking statistics Q2 2015 389KB
Quarterly Banking statistics Q2 2016 312KB
Quarterly Banking statistics Q3 2014 318KB
Quarterly Banking statistics Q3 2015 309KB
Quarterly Banking statistics Q4 2013 312KB
Quarterly Banking statistics Q4 2014 320KB
Quarterly Banking statistics Q4 2015 309KB
Regulatory Solvency Assessment 376KB
Romania - Art 10 Executive Order no 9-2012.docx 17KB
Romania - Art 176 Regulation no 15-2004.docx 11KB
Service Report statistics Apr-Jun 14 14KB
Service Report Statistics Jan Mar-14 14KB
Service Report Statistics Jul-Sep 13 13KB
Service Report Statistics Oct-Dec 13 14KB
Service Report statistics summary 2Q13v2.pdf 13KB
Service Standards Report Apr 14 - Jun 14 141KB
Service Standards Report Jul-Sep 13 328KB
Service Standards Report Oct-Dec 13 142KB
Service-Standards-Report-Jan-Mar-14 143KB
Service Standards Report Jan-Mar 15 34KB
Service Report Statistics Jan-Mar 15 4KB
Service Standards Report Apr-Jun 15 150KB
Service Report Statistics Apr-Jun 15 14KB
Service Standards Report Oct-Dec 15 345KB
Service Report Statistics Oct-Dec 15 14KB
Service Standards Report Jan-Mar 16 145KB
Service Report Statistics Jan-Mar 16 50KB
Service Standards Report Apr-Jun 16 146KB
Service Standards Report Oct-Dec 16 562KB - 31st January 2017
Service Report Statistics Oct-Dec 16 13KB - 31st January 2017
Service Standards Report Jan-Mar 17 561KB - 27th April 2017
Service Report Statistics Jan-Mar 17 13KB - 2nd May 2017
Service Standards Report Apr-Jun 17 561KB - 31st July 2017
Service Report Statistics Apr-Jun 17 13KB - 31st July 2017
Service Standards Report Jul-Sep 17 561KB - 1st February 2018
Service Report Statistics Jul-Sep 17 13KB - 1st February 2018
Service Standards Report Oct-Dec 17 561KB - 1st February 2018
Service Report Statistics Oct-Dec 17 5KB - 1st February 2018
Service Standards Report Jan-Mar 18 561KB - 21st June 2018
Service Report Statistics Jan-Mar 18 12KB - 21st June 2018
Service Standards Report Jul-Sep 18 625KB - 23rd November 2018
Service Report Statistics Jul-Sep 18 12KB - 23rd November 2018
Solvency II Position Statement 228KB
Standard Condition (Long Term Business) 9KB
Submission Letter to the Basel Committee Regarding Banking Liquidity 403KB
Summary of the Issue of the Harwood Report to the Investment Sector 34KB
The Handbook on Countering Financial Crime & Terrorist Financing - A New Edition 309KB - 27th June 2017
The Uncertificated Securities (Guernsey) Regulations, 2009 45KB - 16th August 2017
Website Service Standards Report Apr-Jun 13v2 - clean.pdf 319KB
2019 Q4 - Summary Report 7KB - 11th August 2020
2019 Q4 - Detailed Service Report 14KB - 11th August 2020
2020 Q1 - Summary Report 7KB - 12th August 2020
2020 Q1 - Detailed Service Report 14KB - 12th August 2020

Archived Documents & Forms