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Audited Financial Statements and Annual Compliance Return

Rule 4.2.6 of the Licensees (Conduct of Business) Rules 2016 states audited financial statements shall be submitted to the Commission by no later than four months after the accounting reference date together with the Compliance Return in the format defined at Schedule 1 to the Licensees (Conduct of Business) Rules 2016.

All licensee audited financial statements and compliance returns should be submitted via the Online Submissions Portal.

Guidance notes can be found here.

Penalties for Late Filing of Returns

The penalties for late filing of returns are detailed in The Financial Services Commission (Administrative Financial Penalties)(Bailiwick of Guernsey) Regulations, 2010.

Statistical Returns

A Form 145 - Investment Statistical Return must be submitted quarterly by each Licensee for whom it appears on their Online Submissions Timeline.

SUBMISSION OF THE ABOVE RETURNS

Please note that the Commission only requires electronic submission of these returns and does not require hardcopy documents to follow the electronic submission.