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)
GUARANTEE SCHEMES: SAGI | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
Annual calculation of the coverage base | Com. 1/2019 CGSAGII |
CYBERSECURITY | Reference regulations | Doc Name | Monthly | Quarterly | Semi-annual | Annual |
Self-assessment of network and information systems security |
Com. 8/2023-SF | Cybersecurity self-assessment form |
Financial Investment Agencies
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 |
||||
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)
GUARANTEE SCHEMES: SAGI | Reference regulations | Monthly | Quarterly | Semi-annual | Annual |
Annual calculation of the coverage base | Com. 1/2019 CGSAGII |
CYBERSECURITY | Reference regulations | Doc Name | Monthly | Quarterly | Semi-annual | Annual |
Self-assessment of network and information systems security |
Com. 8/2023-SF | Cybersecurity self-assessment form |
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)
CYBERSECURITY | Reference regulations | Doc Name | Monthly | Quarterly | Semi-annual | Annual |
Self-assessment of network and information systems security |
Com. 8/2023-SF | Cybersecurity self-assessment form |
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)
CYBERSECURITY | Reference regulations | Doc Name | Monthly | Quarterly | Semi-annual | Annual |
Self-assessment of network and information systems security |
Com. 8/2023-SF | Cybersecurity self-assessment form |