Reporting to the Supervisor

PERIODIC REPORTING Reference regulations Monthly Quarterly Semi-annual Annual
Balance of payments and international investment position Com. 1/2023- EFI

FC0101v2 Com. 4/2020-SF ter  

   
FC0102v2 Com. 4/2020-SF ter
 

   
FC0103v2 Com. 4/2020-SF ter
 

   
FC02 Com. 4/2020-SF ter
 

FC03 Com. 4/2020-SF ter
 

FI0101v2 Com. 4/2020-SF ter
 

FI0102v2 Com. 4/2020-SF ter
 

FI0103v2 Com. 4/2020-SF ter
 

FI02 Com. 4/2020-SF ter
 

FI03 Com. 4/2020-SF ter
 

   
FC0101v2AUD Com. 4/2020-SF ter
     

FC0102v2AUD Com. 4/2020-SF ter      

FC0103v2AUD Com. 4/2020-SF ter
     

FC02AUD Com. 4/2020-SF ter
     

FC03AUD Com. 4/2020-SF ter
     

FI0101v2AUD Com. 4/2020-SF ter
     

FI0102v2AUD Com. 4/2020-SF ter
     

FI0103v2AUD Com. 4/2020-SF ter
     

FI02AUD Com. 4/2020-SF ter
     

FI03AUD Com. 4/2020-SF ter
     

CA1 Com. 4/2020-SF ter
 

CA2 Com. 4/2020-SF ter
 

CA3 Com. 4/2020-SF ter
 

BENEF Com. 4/2020-SF ter  

PERSONAL Com. 4/2020-SF ter
 

GESTCART Com. 4/2020-SF ter
 

GDIC Com. 4/2020-SF ter
 

DIPGDIC Com. 4/2020-SF ter
 

INTERM Com. 4/2020-SF ter
 

ASSESS Com. 4/2020-SF ter
 

SERVEIS Com. 4/2020-SF ter
 

ASSEG Com. 4/2020-SF ter
     

INCENTIUS Com. 4/2020-SF ter
     

PERFIL Com. 4/2020-SF ter
     

RECLAM Com. 4/2020-SF ter
     

SOSP Com. 4/2020-SF ter
     

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 ter

Audited annual financial statements of all the subsidiaries (individual and consolidated basis) Com. 4/2020-SF ter

Organisational chart Com. 5-EFI-SFI

Long form report Com. 19-EFI-SFI

AML/CFT Independent Expert Audit Com. 13-EFI-SFI

Principle of relative importance Com. 9-EFI-SFI

Report on Internal Capital Adequacy Assessment Processes (ICAAP) Llei 35/2018

Auditor's annual report on customer asset protection

Com. 7/2020-SF

OTHER REPORTS Reference regulations Monthly Quarterly Semi-annual Annual
Fees Com. 27-EFI-SFI *    

Professional liability insurance

Com 4/2020-SF ter

(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    

PERIODIC REPORTING Reference regulations Monthly Quarterly Semi-annual Annual

Balance of payments and international investment position

Com. 1/2023- EFI

FC0101v2 Com. 4/2020-SF ter  

   
FC0102v2 Com. 4/2020-SF ter
 

   
FC0103v2 Com. 4/2020-SF ter
 

   
FC02 Com. 4/2020-SF ter
 

FC03 Com. 4/2020-SF ter
 

FI0101v2 Com. 4/2020-SF ter
 

FI0102v2 Com. 4/2020-SF ter
 

FI0103v2 Com. 4/2020-SF ter
 

FI02 Com. 4/2020-SF ter
 

FI03 Com. 4/2020-SF ter
 

   
FC0101v2AUD Com. 4/2020-SF ter
     

FC0102v2AUD Com. 4/2020-SF ter
     

FC0103v2AUD Com. 4/2020-SF ter
     

FC02AUD Com. 4/2020-SF ter
     

FC03AUD Com. 4/2020-SF ter
     

FI0101v2AUD Com. 4/2020-SF ter
     

FI0102v2AUD Com. 4/2020-SF ter
     

FI0103v2AUD Com. 4/2020-SF ter
     

FI02AUD Com. 4/2020-SF ter
     

FI03AUD Com. 4/2020-SF ter
     

CA1 Com. 4/2020-SF ter
 

*

CA2 Com. 4/2020-SF ter
 

*

CA3 Com. 4/2020-SF ter
 

*

BENEF Com. 4/2020-SF ter
 

PERSONAL Com. 4/2020-SF ter
 

GESTCART Com. 4/2020-SF ter
 

GDIC Com. 4/2020-SF ter
 

DIPGDIC Com. 4/2020-SF ter
 

INTERM Com. 4/2020-SF ter
 

ASSESS Com. 4/2020-SF ter
 

SERVEIS Com. 4/2020-SF ter
 

ASSEG Com. 4/2020-SF ter
     

INCENTIUS Com. 4/2020-SF ter
     

PERFIL Com. 4/2020-SF ter
     

RECLAM Com. 4/2020-SF ter      

SOSP Com. 4/2020-SF ter
     

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 ter      

Audited annual financial statements of all the subsidiaries (individual and consolidated basis) Com. 4/2020-SF ter

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

Com 4/2020-SF ter

(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    

PERIODIC REPORTING Reference regulations Monthly Quarterly Semi-annual Annual

Balance of payments and international investment position

Com. 1/2023- EFI

FC0101v2 Com. 4/2020-SF ter  

   
FC0102v2 Com. 4/2020-SF ter
 

   
FC0103v2 Com. 4/2020-SF ter
 

   
FC02 Com. 4/2020-SF ter
 

FC03 Com. 4/2020-SF ter
 

FI0101v2 Com. 4/2020-SF ter
 

FI0102v2 Com. 4/2020-SF ter
 

FI0103v2 Com. 4/2020-SF ter
 

FI02 Com. 4/2020-SF ter
 

FI03 Com. 4/2020-SF ter
 

   
FC0101v2AUD Com. 4/2020-SF ter
     

FC0102v2AUD Com. 4/2020-SF ter
     

FC0103v2AUD Com. 4/2020-SF ter
     

FC02AUD Com. 4/2020-SF ter
     

FC03AUD Com. 4/2020-SF ter
     

FI0101v2AUD Com. 4/2020-SF ter
     

FI0102v2AUD Com. 4/2020-SF ter
     

FI0103v2AUD Com. 4/2020-SF ter
     

FI02AUD Com. 4/2020-SF ter
     

FI03AUD Com. 4/2020-SF ter
     

CA1 Com. 4/2020-SF ter
 

*

CA2 Com. 4/2020-SF ter
 

*

CA3 Com. 4/2020-SF ter
 

*

BENEF Com. 4/2020-SF ter
 

PERSONAL Com. 4/2020-SF ter
 

GESTCART Com. 4/2020-SF ter
 

GDIC Com. 4/2020-SF ter
 

DIPGDIC Com. 4/2020-SF ter
 

ASSESS Com. 4/2020-SF ter
 

SERVEIS Com. 4/2020-SF ter
 

ASSEG Com. 4/2020-SF ter
     

INCENTIUS Com. 4/2020-SF ter
     

PERFIL Com. 4/2020-SF ter
     

RECLAM Com. 4/2020-SF ter
     

SOSP Com. 4/2020-SF ter
     

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 ter      

Audited annual financial statements of all the subsidiaries (individual and consolidated basis) Com. 4/2020-SF ter

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

 

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. 24-EFI-SGP *    

Professional liability insurance

Com 4/2020-SF ter

(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    

PERIODIC REPORTING Reference regulations Monthly Quarterly Semi-annual Annual

Balance of payments and international investment position

Com. 1/2023- EFI

FC0101v2 Com. 4/2020-SF ter  

   
FC0102v2 Com. 4/2020-SF ter
 

   
FC0103v2 Com. 4/2020-SF ter
 

   
FC02 Com. 4/2020-SF ter
 

FC03 Com. 4/2020-SF ter
 

FI0101v2 Com. 4/2020-SF ter
 

FI0102v2 Com. 4/2020-SF ter
 

FI0103v2 Com. 4/2020-SF ter
 

FI02 Com. 4/2020-SF ter
 

FI03 Com. 4/2020-SF ter
 

   
FC0101v2AUD Com. 4/2020-SF ter
     

FC0102v2AUD Com. 4/2020-SF ter
     

FC0103v2AUD Com. 4/2020-SF ter
     

FC02AUD Com. 4/2020-SF ter
     

FC03AUD Com. 4/2020-SF ter
     

FI0101v2AUD Com. 4/2020-SF ter
     

FI0102v2AUD Com. 4/2020-SF ter
     

FI0103v2AUD Com. 4/2020-SF ter
     

FI02AUD Com. 4/2020-SF ter
     

FI03AUD Com. 4/2020-SF ter
     

BENEF Com. 4/2020-SF ter
 

PERSONAL Com. 4/2020-SF ter  

ASSESS Com. 4/2020-SF ter
 

SERVEIS Com. 4/2020-SF ter
 

ASSEG Com. 4/2020-SF ter
     

INCENTIUS Com. 4/2020-SF ter
     

PERFIL Com. 4/2020-SF ter
     

RECLAM Com. 4/2020-SF ter
     

SOSP Com. 4/2020-SF ter
     

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 ter
     

Audited annual financial statements of all the subsidiaries (individual and consolidated basis) Com. 4/2020-SF ter

Organisational chart Com. 5-EFI-ASF      

Principle of relative importance Com. 9-EFI-ASF      

AML/CFT Independent Expert Audit

Com. 26/EFI-ASF

 

OTHER REPORTS Reference regulations Monthly Quarterly Semi-annual Annual
Fees Com. 17-EFI-ASF *    

Professional liability insurance

Com 4/2020-SF ter

(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