AML Survey Forms Guidance Notes
| Survey Title | Division | Guidance Notes |
|---|---|---|
| AML Survey - Banking | Banking | View |
| AML Survey - Company Manager | Fiduciary | View |
| AML Survey - Corporate Service Provider | Fiduciary | View |
| AML Survey - Trust | Fiduciary | View |
| AML Survey - Insurance | Insurance | View |
| AML Survey - Mutual Fund Administrator | Investments | View |
| AML Survey - Licences and Registered Persons | Securities | View |
| AML Survey - Virtual Assets Service Provider | N/A | View |
| VASP Travel Rule Return | N/A | |
| Cash Flow Reporting | Banking | View |
| RFB Self Declaration | Insurance | View |
REEFS Forms Guidance Notes
| Form Reference | Form Title | Form Type | Division | Guidance Notes | Other |
|---|---|---|---|---|---|
| AAA-131-99 | Appointment of Authorised Agent | Request | Fiduciary | Coming soon | |
| ACL-033-10 | Active Client Listing | Return | Fiduciary | Coming soon | |
| ADD-125-99 | Addition of a SP or Series Trust or Sub-Fund | Request | Investments | Coming soon | |
| ADR-046-75 | Annual Declaration of a SIBL Registered Person | Return | Securities | View | |
| AFS-001-99 | Audited Financial Statements | Request | Common | View | |
| APP-101-01 | Application for Bank Licence | Application | Banking | Coming soon | |
| APP-101-04 | Application for a Trust Company Licence | Application | Fiduciary | Coming soon | |
| APP-101-05 | Application for a Restricted Trust Licence | Application | Fiduciary | Coming soon | |
| APP-101-06 | Application for a Controlled Subsidiary | Application | Fiduciary | Coming soon | |
| APP-101-07 | Application for a Private Trust Company (Registered PTC) | Application | Fiduciary | Coming soon | |
| APP-101-09 | Application for Money Services Licence | Application | Banking | Coming soon | |
| APP-101-10 | Application for a Companies Management Licence | Application | Fiduciary | Coming soon | |
| APP-101-11 | Application for a Corporate Services Licence | Application | Fiduciary | Coming soon | |
| APP-101-12 | Application for Insurance Agent Licence | Application | Insurance | Coming soon | |
| APP-101-13 | Application for Insurance Broker Licence | Application | Insurance | Coming soon | |
| APP-101-14 | Application for Class A Insurer Licence | Application | Insurance | Coming soon | |
| APP-101-15a | Application for Insurance Manager Licence (1-10 insurers) | Application | Insurance | Coming soon | |
| APP-101-15b | Application for Insurance Manager Licence (11-50 insurers) | Application | Insurance | Coming soon | |
| APP-101-15c | Application for Insurance Manager Licence (51-100 insurers) | Application | Insurance | Coming soon | |
| APP-101-15d | Application for Insurance Manager Licence (101 or more insurers) | Application | Insurance | Coming soon | |
| APP-101-22 | Application for Mutual Fund | Application | Investments | Coming soon | |
| APP-101-26a | Application for Mutual Fund Administrator (Full) 1-50 mutual funds | Application | Investments | Coming soon | |
| APP-101-26b | Application for Mutual Fund Administrator (Full) 51 or more mutual funds | Application | Investments | Coming soon | |
| APP-101-27 | Application for Mutual Fund Administrator (Restricted) | Application | Investments | Coming soon | |
| APP-101-29 | Application for Securities Investment Business Licence (SIBL) | Application | Investments | Coming soon | |
| APP-101-53 | Application for Mutual Fund - Master Fund | Application | Investments | Coming soon | |
| APP-101-56a | Application for Class B(i) Insurer Licence | Application | Insurance | Coming soon | |
| APP-101-56b | Application for Class B(ii) Insurer Licence | Application | Insurance | Coming soon | |
| APP-101-56c | Application for Class B(iii) Insurer Licence | Application | Insurance | Coming soon | |
| APP-101-57 | Application for Class C Insurer Licence | Application | Insurance | Coming soon | |
| APP-101-58 | Application for Class D Insurer Licence | Application | Insurance | Coming soon | |
| APP-101-69 | AIFMD Notification - EU Connected Mutual Fund | Application | Investments | Coming soon | |
| APP-101-70 | AIFMD Notification - EU Connected Fund Manager | Application | Investments | Coming soon | |
| APP-101-75 | Application for SIBL Registered Person | Application | Securities | View | |
|
APP-101-77 |
Application for Private Fund | Application | Investments | View | |
| APP-101-78 | Application for Limited Investor Fund | Application | Investments | View | |
| APP-101-84 | Application for Virtual Assets Service Provider Registration | Application | Common | View | |
| APP-101-84a | Virtual Asset Service Providers - Initial AML Risks | Return | Common | Coming Soon | |
| APR-102-06 | Application for continuation of registration of a Controlled Subsidiary | Application | Fiduciary | Coming soon | |
| APR-102-07 | Application for continuation of registration of a PTC | Application | Fiduciary | Coming soon | |
| APT-106-99 | Appointment of a Senior Manager or Officer | Request | Common | View | |
| BPC-103-99-02 | Change in Business Plan | Request | Common | View | |
| BQC-002-001 | Basel II and QPR | Return | Banking | View | |
| CAU-112-99 | Change of Auditors | Request | Fiduciary | Coming soon | |
| CCL-118-99 | Certified Copy of a Licence Certificate | Request | Fiduciary | Coming soon | |
| CDT-140-99 | Change of Registrant/Licensee details | Request | Fiduciary | Coming soon | |
| CFR-044-99-02 | Cash Flows Return | Return | Banking | View | |
| CIM-141-56-01 | Change of Insurance Management | Request | Insurance | Coming soon | |
| CNM-109-99 | Change of Name | Request | Fiduciary | Coming soon | |
| CPI-011-01 | Coordinated Portfolio Investment Survey (CPIS) | Return |
Financial Stability & Statistics |
Coming soon | |
| CPO-113-99 | Change in Principal Office | Request | Fiduciary | Coming soon | |
| CSH-108-99 | Change of Shareholding | Request | Common | Coming soon | |
| CSP-111-99 | Change in Registered Office | Request | Investments | Coming soon | |
| CYE-126-99 | Change in Year-End | Request | Fiduciary | Coming soon | |
| DBA-015-01 | Domestic Banking Activity (DBA) Form | Return |
Financial Stability & Statistics |
Coming soon | |
| EUF-152-69 | Request AIFMD Attestation for EU Connected Mutual Fund | Request | Investments | Coming soon | |
| EUM-153-70 | Request AIFMD Attestation for EU Connected Fund Manager | Request | Investments | Coming soon | |
| EXF-117-99 |
Approval for an extension in filing Audited Statements |
Request | Fiduciary | Coming soon | |
| FAR-016-22-03 | Fund Annual Return (FAR) v3 | Return | Investments | View | |
| FAR-016-22-04 | Fund Annual Return (FAR) v4 | Return | Investments | View | |
| FDF-040-99 | Foreclosure Disclosure | Return |
Financial Stability & Statistics |
View | |
| FXT-162-22 | Request for Extension for Fund Annual Return (FAR) | Request | Investments | View | |
| IAG-018-12 | Insurance Agent's Annual Return | Return | Insurance | Coming soon | |
| IAL-008-14 | Class A Insurer Annual Return | Return | Insurance | Coming soon | |
| IBR-020-13 | Insurance Broker's Annual Return | Return | Insurance | Coming soon | |
| ICA-017-01 | Internal Capital Adequacy Assessment Process (ICAAP) | Return | Banking | View | |
| IMG-021-15 | Insurance Managers Annual Return | Return | Insurance | Coming soon | |
| INB-009-56 | Class B Insurer Annual Return | Return | Insurance | Coming soon | |
| INC-019-57 | Class C Insurer Annual Return | Return | Insurance | Coming soon | |
| IND-038-58 | Class D Insurer Annual Return | Return | Insurance | Coming soon | |
| INS-047-56 | Survey of Insurance Business Development Since 2015 | Return | Insurance | View | |
| IQA-028-14 | Quarterly Return Class A (External) | Return | Insurance | Coming soon | |
| ITA-022-14 | Trust Assets Declaration Form - Insur Ext Class A | Return | Insurance | Coming soon | |
| LBS-023-01 | Locational Banking Statistics (LBS) Survey | Return |
Financial Stability & Statistics |
Coming soon | |
|
LCR-042-99 |
Liquidity Coverage Ratio (LCR) |
Return | Banking |
Coming soon |
|
| LGS-116-99 | Letter of Good Standing | Request | Fiduciary | Coming soon | |
| MLO-154-99 | Addition or Change of AMLCO or MLRO | Application | Common | Coming soon | |
|
MLR-041-99 |
Minimum Liquidity Ratio (MLR) |
Return | Banking | Coming soon |
FAQ: Coming soon |
|
NSF-043-99 |
Net Stable Funding Ratio (NSFR) |
Return | Banking | Coming soon | |
| OPN-114-99 | Approval to open a Branch/Agency/Rep Office | Request | Fiduciary | Coming soon | |
| PFC-166-77 | Private Fund Data Submission. | Request | Investments | View | |
| PFR-049-77 | Private Fund Annual Return. | Return | Investments | View |
|
| PQU-137-99 | Personal Questionnaire | Application | Compliance | Coming soon | |
| RBQ-045-99 | Risk Based Approach Questionnaire | Return | Common | Coming soon | |
| REV-124-22 | Filing of revised OM/MF forms/Addendums | Request | Investments | Coming soon | |
| RFE-050-77 | Related Fund Entity Information. | Return | Investments | View | |
| RRP-160-75 | Re-registration as SIBL Registered Person | Application | Securities | View | |
| TMF-147-22 | Termination of a Mutual Fund | Request | Investments | Coming soon | |
| TRM-105-99 | License Termination/Surrender/De-Registration | Request | Common | Coming soon | |
| TRS-142-99 | Termination of a SP or Series Trust or Sub-Fund | Request | Investments | Coming soon | |
| URW-110-99 | Use of a Restricted Word | Request | Fiduciary | Coming soon |