Reporting al supervisor
Societats Financeres d'Inversió
| REPORTING PERIÒDIC | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| FC0101v2 | Com. 4/2020-SF | ||||
| FC0102v2 | Com. 4/2020-SF | ||||
| FC0103v2 | Com. 4/2020-SF | ||||
| FC02 | Com. 4/2020-SF | ||||
| FC03 | Com. 4/2020-SF | ||||
| FI0101v2 | Com. 4/2020-SF | ||||
| FI0102v2 | Com. 4/2020-SF | ||||
| FI0103v2 | Com. 4/2020-SF | ||||
| FI02 | Com. 4/2020-SF | ||||
| FI03 | Com. 4/2020-SF | ||||
| FC0101v2AUD | Com. 4/2020-SF | ||||
| FC0102v2AUD | Com. 4/2020-SF | ||||
| FC0103v2AUD | Com. 4/2020-SF | ||||
| FC02AUD | Com. 4/2020-SF | ||||
| FC03AUD | Com. 4/2020-SF | ||||
| FI0101v2AUD | Com. 4/2020-SF | ||||
| FI0102v2AUD | Com. 4/2020-SF | ||||
| FI0103v2AUD | Com. 4/2020-SF | ||||
| FI02AUD | Com. 4/2020-SF | ||||
| FI03AUD | Com. 4/2020-SF | ||||
| CA1 | Com. 4/2020-SF | ||||
| CA2 | Com. 4/2020-SF | ||||
| CA3 | Com. 4/2020-SF | ||||
| BENEF | Com. 4/2020-SF | ||||
| PERSONAL | Com. 4/2020-SF | ||||
| GESTCART | Com. 4/2020-SF | ||||
| GDIC | Com. 4/2020-SF | ||||
| DIPGDIC | Com. 4/2020-SF | ||||
| INTERIM | Com. 4/2020-SF | ||||
| ASSESS | Com. 4/2020-SF | ||||
| SERVEIS | Com. 4/2020-SF | ||||
| ASSEG | Com. 4/2020-SF | ||||
| INCENTIUS | Com. 4/2020-SF | ||||
| PERFIL | Com. 4/2020-SF | ||||
| RECLAM | Com. 4/2020-SF | ||||
| SOSP | Com. 4/2020-SF | ||||
| PART | Com. 1/2019-SF | ||||
| CAD PART | Com. 1/2019-SF | ||||
| ACC | Com. 1/2019-SF | ||||
| CAD | Com. 2/2019-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Entitat | Com. 4/2020-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Participades | Com. 4/2020-SF | ||||
| Organigrama | Com. 5-EFI-SFI | ||||
| Informe complementari d’auditoria | Com. 19-EFI-SFI | ||||
| Informe de blanqueig | Com. 13-EFI-SFI | ||||
| Principi d'importància relativa | Com. 9-EFI-SFI | ||||
| Informe anual del procés d'autoavaluació de capital intern | Llei 35/2018 | ||||
| Informe anual de l’auditor sobre protecció d’actius de clients | Com. 7/2020-SF |
| ALTRES REPORTINGS | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| Tarifes | Com. 27-EFI-SFI | * |
* Reporting realitzat recurrentment sense una periodicitat fixa prestablerta
| FONS DE GARANTIA: SAGI | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| Càlcul anual de la base de cobertura | Com. 1/2019 CGSAGII |
Agències Financeres d'Inversió
| REPORTING PERIÒDIC | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| FC0101v2 | Com. 4/2020-SF | ||||
| FC0102v2 | Com. 4/2020-SF | ||||
| FC0103v2 | Com. 4/2020-SF | ||||
| FC02 | Com. 4/2020-SF | ||||
| FC03 | Com. 4/2020-SF | ||||
| FI0101v2 | Com. 4/2020-SF | ||||
| FI0102v2 | Com. 4/2020-SF | ||||
| FI0103v2 | Com. 4/2020-SF | ||||
| FI02 | Com. 4/2020-SF | ||||
| FI03 | Com. 4/2020-SF | ||||
| FC0101v2AUD | Com. 4/2020-SF | ||||
| FC0102v2AUD | Com. 4/2020-SF | ||||
| FC0103v2AUD | Com. 4/2020-SF | ||||
| FC02AUD | Com. 4/2020-SF | ||||
| FC03AUD | Com. 4/2020-SF | ||||
| FI0101v2AUD | Com. 4/2020-SF | ||||
| FI0102v2AUD | Com. 4/2020-SF | ||||
| FI0103v2AUD | Com. 4/2020-SF | ||||
| FI02AUD | Com. 4/2020-SF | ||||
| FI03AUD | Com. 4/2020-SF | ||||
| CA1 | Com. 4/2020-SF |
* |
|||
| CA2 | Com. 4/2020-SF |
* |
|||
| CA3 | Com. 4/2020-SF |
* |
|||
| BENEF | Com. 4/2020-SF | ||||
| PERSONAL | Com. 4/2020-SF | ||||
| GESTCART | Com. 4/2020-SF | ||||
| GDIC | Com. 4/2020-SF | ||||
| DIPGDIC | Com. 4/2020-SF | ||||
| INTERIM | Com. 4/2020-SF | ||||
| ASSESS | Com. 4/2020-SF | ||||
| SERVEIS | Com. 4/2020-SF | ||||
| ASSEG | Com. 4/2020-SF | ||||
| INCENTIUS | Com. 4/2020-SF | ||||
| PERFIL | Com. 4/2020-SF | ||||
| RECLAM | Com. 4/2020-SF | ||||
| SOSP | Com. 4/2020-SF | ||||
| PART | Com. 1/2019-SF | ||||
| CAD PART | Com. 1/2019-SF | ||||
| ACC | Com. 1/2019-SF | ||||
| CAD | Com. 2/2019-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Entitat | Com. 4/2020-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Participades | Com. 4/2020-SF | ||||
| Organigrama | Com. 5-EFI-AFI | ||||
| Informe complementari d’auditoria | Com. 19-EFI-AFI | ||||
| Informe de blanqueig | Com. 13-EFI-AFI | ||||
| Principi d'importància relativa | Com. 9-EFI-AFI | ||||
| Informe anual de procés d'autoavaluació de capital intern | Llei 35/2018 | ||||
| Informe anual de l’auditor sobre protecció d’actius de clients |
* Per a entitats que presten serveis de gestió directa mitjançant comptes òmnibus
| ALTRES REPORTINGS | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| Tarifes | Com. 27-EFI-AFI | * |
* Reporting realitzat recurrentment sense una periodicitat fixa prestablerta
| FONS DE GARANTIA: SAGI | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| Càlcul anual de la base de cobertura | Com. 1/2019 CGSAGII |
Societats Gestores de Patrimonis
| REPORTING PERIÒDIC | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| FC0101v2 | Com. 4/2020-SF | ||||
| FC0102v2 | Com. 4/2020-SF | ||||
| FC0103v2 | Com. 4/2020-SF | ||||
| FC02 | Com. 4/2020-SF | ||||
| FC03 | Com. 4/2020-SF | ||||
| FI0101v2 | Com. 4/2020-SF | ||||
| FI0102v2 | Com. 4/2020-SF | ||||
| FI0103v2 | Com. 4/2020-SF | ||||
| FI02 | Com. 4/2020-SF | ||||
| FI03 | Com. 4/2020-SF | ||||
| FC0101v2AUD | Com. 4/2020-SF | ||||
| FC0102v2AUD | Com. 4/2020-SF | ||||
| FC0103v2AUD | Com. 4/2020-SF | ||||
| FC02AUD | Com. 4/2020-SF | ||||
| FC03AUD | Com. 4/2020-SF | ||||
| FI0101v2AUD | Com. 4/2020-SF | ||||
| FI0102v2AUD | Com. 4/2020-SF | ||||
| FI0103v2AUD | Com. 4/2020-SF | ||||
| FI02AUD | Com. 4/2020-SF | ||||
| FI03AUD | Com. 4/2020-SF | ||||
| CA1 | Com. 4/2020-SF |
* |
|||
| CA2 | Com. 4/2020-SF |
* |
|||
| CA3 | Com. 4/2020-SF |
* |
|||
| BENEF | Com. 4/2020-SF | ||||
| PERSONAL | Com. 4/2020-SF | ||||
| GESTCART | Com. 4/2020-SF | ||||
| GDIC | Com. 4/2020-SF | ||||
| DIPGDIC | Com. 4/2020-SF | ||||
| ASSESS | Com. 4/2020-SF | ||||
| SERVEIS | Com. 4/2020-SF | ||||
| ASSEG | Com. 4/2020-SF | ||||
| INCENTIUS | Com. 4/2020-SF | ||||
| PERFIL | Com. 4/2020-SF | ||||
| RECLAM | Com. 4/2020-SF | ||||
| SOSP | Com. 4/2020-SF | ||||
| PART | Com. 1/2019-SF | ||||
| CAD PART | Com. 1/2019-SF | ||||
| ACC | Com. 1/2019-SF | ||||
| CAD | Com. 2/2019-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Entitat | Com. 4/2020-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Participades | Com. 4/2020-SF | ||||
| Organigrama | Com. 5-EFI-SGP | ||||
| Informe complementari d’auditoria | Com. 17-EFI-SGP | ||||
| Informe de blanqueig | Com. 13-EFI-SGP | ||||
| Principi d'importància relativa | Com. 9-EFI-SGP | ||||
| Informe anual de procés d'autoavaluació de capital intern | Llei 35/2018 |
* |
|||
| Informe anual de l’auditor sobre protecció d’actius de clients |
* Per a entitats que presten serveis de gestió directa mitjançant comptes òmnibus
| ALTRES REPORTINGS | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| Tarifes | Com. 24-EFI-SGP | * |
* Reporting realitzat recurrentment sense una periodicitat fixa prestablerta
Assessors Financers
| REPORTING PERIÒDIC | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| FC0101v2 | Com. 4/2020-SF | ||||
| FC0102v2 | Com. 4/2020-SF | ||||
| FC0103v2 | Com. 4/2020-SF | ||||
| FC02 | Com. 4/2020-SF | ||||
| FC03 | Com. 4/2020-SF | ||||
| FI0101v2 | Com. 4/2020-SF | ||||
| FI0102v2 | Com. 4/2020-SF | ||||
| FI0103v2 | Com. 4/2020-SF | ||||
| FI02 | Com. 4/2020-SF | ||||
| FI03 | Com. 4/2020-SF | ||||
| FC0101v2AUD | Com. 4/2020-SF | ||||
| FC0102v2AUD | Com. 4/2020-SF | ||||
| FC0103v2AUD | Com. 4/2020-SF | ||||
| FC02AUD | Com. 4/2020-SF | ||||
| FC03AUD | Com. 4/2020-SF | ||||
| FI0101v2AUD | Com. 4/2020-SF | ||||
| FI0102v2AUD | Com. 4/2020-SF | ||||
| FI0103v2AUD | Com. 4/2020-SF | ||||
| FI02AUD | Com. 4/2020-SF | ||||
| FI03AUD | Com. 4/2020-SF | ||||
| BENEF | Com. 4/2020-SF | ||||
| PERSONAL | Com. 4/2020-SF | ||||
| ASSESS | Com. 4/2020-SF | ||||
| SERVEIS | Com. 4/2020-SF | ||||
| ASSEG | Com. 4/2020-SF | ||||
| INCENTIUS | Com. 4/2020-SF | ||||
| PERFIL | Com. 4/2020-SF | ||||
| RECLAM | Com. 4/2020-SF | ||||
| SOSP | Com. 4/2020-SF | ||||
| PART | Com. 1/2019-SF | ||||
| CAD PART | Com. 1/2019-SF | ||||
| ACC | Com. 1/2019-SF | ||||
| CAD | Com. 2/2019-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Entitat | Com. 4/2020-SF | ||||
| Estats financers anuals auditats (individuals i consolidats) - Participades | Com. 4/2020-SF | ||||
| Organigrama | Com. 5-EFI-ASF | ||||
| Principi d'importància relativa | Com. 9-EFI-ASF |
| ALTRES REPORTINGS | Normativa de referència | Mensual | Trimestral | Semestral | Anual |
| Tarifes | Com. 17-EFI-ASF | * |
* Reporting realitzat recurrentment sense una periodicitat fixa prestablerta