Reporting to the Supervisor
Financial Investment Companies
| OTHER REPORTS | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
| Fees | Com. 27-EFI-SFI | * | |||
|
Professional liability insurance |
(ASSEG document complement) |
** |
* Reporting performed recurrently without predifined periodicity
** Reporting carried out in the event of having taken out a professional liability insurance (provide a copy of the payment premiums for the insurance and the insurance policy conditions)
| GURANTEE SCHEMES: SAGI | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
| Annual calculation of the coverage base | Com. 1/2019 CGSAGII |
Financial Investment Agencies
| PERIODIC REPORTING | Reference regulations | Monthly | Quarterly | Semi-annual | Annually |
| FC0101v2 | Com. 4/2020-SF bis | ||||
| FC0102v2 | Com. 4/2020-SF bis |
||||
| FC0103v2 | Com. 4/2020-SF bis |
||||
| FC02 | Com. 4/2020-SF bis |
||||
| FC03 | Com. 4/2020-SF bis |
||||
| FI0101v2 | Com. 4/2020-SF bis |
||||
| FI0102v2 | Com. 4/2020-SF bis |
||||
| FI0103v2 | Com. 4/2020-SF bis |
||||
| FI02 | Com. 4/2020-SF bis |
||||
| FI03 | Com. 4/2020-SF bis |
||||
| FC0101v2AUD | Com. 4/2020-SF bis |
||||
| FC0102v2AUD | Com. 4/2020-SF bis |
||||
| FC0103v2AUD | Com. 4/2020-SF bis |
||||
| FC02AUD | Com. 4/2020-SF bis |
||||
| FC03AUD | Com. 4/2020-SF bis |
||||
| FI0101v2AUD | Com. 4/2020-SF bis |
||||
| FI0102v2AUD | Com. 4/2020-SF bis |
||||
| FI0103v2AUD | Com. 4/2020-SF bis |
||||
| FI02AUD | Com. 4/2020-SF bis |
||||
| FI03AUD | Com. 4/2020-SF bis |
||||
| CA1 | Com. 4/2020-SF bis |
* |
|||
| CA2 | Com. 4/2020-SF bis |
* |
|||
| CA3 | Com. 4/2020-SF bis |
* |
|||
| BENEF | Com. 4/2020-SF bis |
||||
| PERSONAL | Com. 4/2020-SF bis |
||||
| GESTCART | Com. 4/2020-SF bis |
||||
| GDIC | Com. 4/2020-SF bis |
||||
| DIPGDIC | Com. 4/2020-SF bis |
||||
| INTERM | Com. 4/2020-SF bis |
||||
| ASSESS | Com. 4/2020-SF bis |
||||
| SERVEIS | Com. 4/2020-SF bis |
||||
| ASSEG | Com. 4/2020-SF bis |
||||
| INCENTIUS | Com. 4/2020-SF bis |
||||
| PERFIL | Com. 4/2020-SF bis |
||||
| RECLAM | Com. 4/2020-SF bis | ||||
| SOSP | Com. 4/2020-SF bis |
||||
| PART | Com. 1/2019-SF | ||||
| CAD PART | Com. 1/2019-SF | ||||
| ACC | Com. 1/2019-SF | ||||
| CAD | Com. 2/2019-SF | ||||
| Audited annual financial statements of supervised entities (individual and consolidated basis) | Com. 4/2020-SF bis | ||||
| Audited annual financial statements of all the subsidiaries (individual and consolidated basis) | Com. 4/2020-SF bis | ||||
| Organisational chart | Com. 5-EFI-AFI | ||||
| Long form report | Com. 19-EFI-AFI | ||||
| AML/CFT Independent Expert Audit | Com. 13-EFI-AFI | ||||
| Principle of relative importance | Com. 9-EFI-AFI | ||||
|
Report on Internal Capital Adequacy Assessment Processes (ICAAP) - Report on Internal Liquidity Adequacy Assessment Processes (ILAAP) |
Llei 35/2018 | ||||
|
Auditor's annual report on customer asset protection |
Com. 7/2020-SF |
* For entities that provide direct management services through omnibus accounts
| OTHER REPORTS | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
| Fees | Com. 27-EFI-AFI |
* | |||
|
Professional liability insurance |
(ASSEG document complement) |
** |
* Reporting performed recurrently without predifined periodicity
** Reporting carried out in the event of having taken out a professional liability insurance (provide a copy of the payment premiums for the insurance and the insurance policy conditions)
| GURANTEE SCHEMES: SAGI | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
| Annual calculation of the coverage base | Com. 1/2019 CGSAGII |
Patrimonial Management Societies
| PERIODIC REPORTING | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
| FC0101v2 | Com. 4/2020-SF bis | ||||
| FC0102v2 | Com. 4/2020-SF bis |
||||
| FC0103v2 | Com. 4/2020-SF bis |
||||
| FC02 | Com. 4/2020-SF bis |
||||
| FC03 | Com. 4/2020-SF bis |
||||
| FI0101v2 | Com. 4/2020-SF bis |
||||
| FI0102v2 | Com. 4/2020-SF bis |
||||
| FI0103v2 | Com. 4/2020-SF bis |
||||
| FI02 | Com. 4/2020-SF bis |
||||
| FI03 | Com. 4/2020-SF bis |
||||
| FC0101v2AUD | Com. 4/2020-SF bis |
||||
| FC0102v2AUD | Com. 4/2020-SF bis |
||||
| FC0103v2AUD | Com. 4/2020-SF bis |
||||
| FC02AUD | Com. 4/2020-SF bis |
||||
| FC03AUD | Com. 4/2020-SF bis |
||||
| FI0101v2AUD | Com. 4/2020-SF bis |
||||
| FI0102v2AUD | Com. 4/2020-SF bis |
||||
| FI0103v2AUD | Com. 4/2020-SF bis |
||||
| FI02AUD | Com. 4/2020-SF bis |
||||
| FI03AUD | Com. 4/2020-SF bis |
||||
| CA1 | Com. 4/2020-SF bis |
* |
|||
| CA2 | Com. 4/2020-SF bis |
* |
|||
| CA3 | Com. 4/2020-SF bis |
* |
|||
| BENEF | Com. 4/2020-SF bis |
||||
| PERSONAL | Com. 4/2020-SF bis |
||||
| GESTCART | Com. 4/2020-SF bis |
||||
| GDIC | Com. 4/2020-SF bis |
||||
| DIPGDIC | Com. 4/2020-SF bis |
||||
| ASSESS | Com. 4/2020-SF bis |
||||
| SERVEIS | Com. 4/2020-SF bis |
||||
| ASSEG | Com. 4/2020-SF bis |
||||
| INCENTIUS | Com. 4/2020-SF bis |
||||
| PERFIL | Com. 4/2020-SF bis |
||||
| RECLAM | Com. 4/2020-SF bis |
||||
| SOSP | Com. 4/2020-SF bis |
||||
| PART | Com. 1/2019-SF | ||||
| CAD PART | Com. 1/2019-SF | ||||
| ACC | Com. 1/2019-SF | ||||
| CAD | Com. 2/2019-SF | ||||
| Audited annual financial statements of supervised entities (individual and consolidated basis) | Com. 4/2020-SF bis | ||||
| Audited annual financial statements of all the subsidiaries (individual and consolidated basis) | Com. 4/2020-SF bis | ||||
| Organisational chart | Com. 5-EFI-SGP | ||||
| Long form report | Com. 17-EFI-SGP | ||||
| AML/CFT Independent Expert Audit | Com. 13-EFI-SGP | ||||
| Principle of relative importance | Com. 9-EFI-SGP | ||||
|
Report on Internal Capital Adequacy Assessment Processes (ICAAP) - Report on Internal Liquidity Adequacy Assessment Processes (ILAAP) |
Llei 35/2018 |
* |
|||
| Auditor's annual report on Customer asset protection
|
* For entities that provide direct management services through omnibus accounts
| OTHER REPORTS | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
| Fees | Com. 24-EFI-SGP | * | |||
|
Professional liability insurance |
(ASSEG document complement) |
** |
* Reporting performed recurrently without predifined periodicity
** Reporting carried out in the event of having taken out a professional liability insurance (provide a copy of the payment premiums for the insurance and the insurance policy conditions)
Financial Advisors
| OTHER REPORTS | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
| Fees | Com. 17-EFI-ASF | * | |||
|
Professional liability insurance |
(ASSEG document complement) |
** |
* Reporting performed recurrently without predifined periodicity
** Reporting carried out in the event of having taken out a professional liability insurance (provide a copy of the payment premiums for the insurance and the insurance policy conditions)