Investment Services - Dear CEO Letters

2013

Systems of Controls to prevent financial crime With the bringing into effect of the Crimes Act 2011 a number of new and revised financial crimes were introduced into the statute books. This letter aims to provide regulated firms with guidance on our expectations of the systems of control that we expect to see in regulated firms in this respect.

Investment Services - Forms and Returns

			Investment Firm Supervisory Return
			Notes For Completion of the Investment Firm Supervisory Return
			Transaction Reporting System example CSV file
			Basel II monthly return Only to be submitted by firms with a Category 1 authorisation.
			Large Exposure Exemption Form
		2021	Agreed Upon procedures - MiFID II Form
		2023	IFPR Return - Notes for Completion

Investment Services - Guidance Notes

EBA			Interactive Single Rulebook - Bank Recovery and Resolution Directive
EBA			Interactive Single Rulebook - Capital Requirements Directive
EBA			Interactive Single Rulebook - Capital Requirements Regulation
	2		Outsourcing Financial Services Guidance Note No. 2
	3		Dealing with and Advising Clients Financial Services Guidance Note No. 3
		2007	Market Abuse - Acceptable Market Practices
		2007	MiFiD - Client Categorisation
		2007	MiFiD - Suitability, Appropriateness & Best Execution
		2007	MiFiD - Managing Conflicts of Interest & related Organisational Requirements
		2007	MiFiD - Provision of Information, Client Reporting & Record Keeping
		2007	MiFiD - Transparency Requirements
		2007	MiFiD - Transaction Reporting
		2007	MiFiD - Glossary of terms
		2007	CRD - Pillar 1 - Operational Risk
		2007	CRD - Pillar 1 - Credit Risk Standardised Approach
		2007	CRD - Pillar 1 - Credit Risk IRB Approach
		2007	CRD - Pillar 1 - Securitisation
		2007	CRD - Pillar 1 - Financial Derivatives, SFTs and Long Settlement Transactions
		2007	CRD - Pillar 1 - Market Risk
		2007	CRD - Pillar 1 - ECAIs
		2007	CRD - Pillar 1 - Concentration Risk
		2007	CRD - Pillar 1 - Glossary
		2007	CRD - Pillar 2 - ICAAP & the SREP
		2007	CRD - Pillar 3 - Disclosures
		2008	Audit requirements, & Other Obligations & Disclosures
		2012	Remuneration
		2012	Automated Trading Systems
ESMA	387	2012	Guidelines on certain aspects of the MiFID suitability requirements
ESMA	74	2013	Guidelines on exemption for market making activities and primary market operations
	2	2019	IDD Q&A

Investment Services - Legislation

ACT	35	1998	Disclosure of Interests in Shares Act, 1998
SI	1805	2006	The Financial Services and Markets Act 2000 (Gibraltar)(Amendment) Order 2006
ACT	23	2006	Financial Services (Distance Marketing) Act, 2006
ACT	11	2007	Financial Services (Temporary Business Continuity) Act 2007
LN	73	2007	Financial Services (Temporary Business Continuity) (Fees) Regulations 2007
LN	81	2007	Financial Services (Temporary Business Continuity) Act 2007
Act	1	2010	Counter Terrorism Act
ACT	2	2010	Financial Services (Investment and Fiduciary Services) (Temporary Administration Of Companies) Act 2010
LN	80	2010	Distance Marketing (Amendment) Regulations 2010
EU	575	2013	EU Commission Regulation Regulation (EU) No 575/2013 of the European Parliament and of the Council of 26 June 2013 on prudential requirements for credit institutions and investment firms and amending Regulation (EU) No 648/2012
EU	241	2014	EU Commission Delegated Regulation Regulation (EU) No 241/2014 of 7 January 2014 supplementing Regulation (EU) No 575/2013 of the European Parliament and of the Council with regard to regulatory technical standards for Own Funds requirements for institutions
Act	14	2015	Proceeds of Crime Act 2015
		2017	Supervisory Bodies (Powers Etc.) Regulations 2017
		2018	Terrorism Act 2018
		2019	Sanctions Act 2019
ACT	29	2019	Financial Services Act 2019
		2020	Financial Services (Investment Services) Regulations 2020
		2020	Financial Services (Data Reporting Service Providers) Regulations 2020
		2020	Financial Services (Alternative Investment Fund Managers) Regulations 2020
		2020	Financial Services (Fees) Regulations 2020
		2020	Financial Services (Specified Regulatory Decisions) Regulations 2020
		2020	Core Rules 2020
		2020	Financial Services (Packaged Retail and Insurance Based Investment Products) Regulations 2020
LN	22	2020	Financial Services (GFSC Complaints) Regulations 2020
LN	37	2020	Financial Services (Credit Institutions and Capital Requirements) Regulations 2020
		2021	Proceeds of Crime Act 2015 (Transfer of Virtual Assets) Regulations 2021

Investment Services - Newsletters

	1	1992	Guidance Notes On The Marketing Of Collective Investment Schemes
	2	1992	Best Market Practice. Section on Money Laundering Guidelines withdrawn October 1996
	4	1992	Guidance Notes On Communications Between Auditors And The Commission
	1	1993	Fraud: Ghost Money, Funny Money, Ready Willing And Able To Deliver, Advance Fee Fraud
	3	1993	The Use Of Personal Computer Systems: A Guide To Secure System Implementation
	4	1993	Best Market Practice 2. The Sale And Marketing Of Life Assurance Products
	6	1993	Penalties Regulations
	2	1995	Best Market Practice. Mod Pension Transfers
	3	1995	Sugar Frauds
	1	1996	Criminal Justice Act, 1995
	4	1996	Best Market Practice. Anti Money Laundering Systems, Controls and Procedures
	2	1997	Advertising and the "Internet"
FSC	1	1998	The General Duties and Responsibilities of Directors
FSC	1	2002	Fitness and Propriety
FSC	1	2003	Retrospective "Know Your Customer" Reviews
FSC	2	2003	UN Sanctions: Freeze and transfer of Iraqi assets
FSC	1	2006	Risk Assessment Visits - Findings
FSC	2	2006	Customer Money
FSC	4	2006	Financial Services Legislation
FSC	5	2006	Background to the Capital Requirements Directive (Basel II)
FSC	6	2006	Markets in Financial Instruments Directive
FSC	3	2007	Distance Marketing
FSC	4	2008	Compliance with MiFID
FSC	2	2011	Financial Services (Capital Adequacy of Credit Institutions)(Amendment) Regulations 2010 This Newsletter provides, inter alia, a summary of the some of the changes to the Capital Requirements Directive via Directive 2009/111/EC which have been transposed via the Financial Services (Capital Adequacy of Credit Institutions)(Amendment) Regulations 2010.
FSC	6	2011	Euro Exchange Rates for the period commencing 31 December 2011
FSC	11	2012	Enhancing the confirmations provided by Statutory Auditors and Audit firms for the Capitalisation of Licenced Companies
FSC	3	2012	Annual Fees Update 2012
	7	2012	Automated Trading Systems
FSC	1	2013	Euro Exchange Rates for the period commencing 31 December 2012
	2	2013	Frequency of Director's Board meetings held for Regulated Firms
FSC	5	2013	Financial Services (Information Gathering and Co-operation) Act
FSC	6	2013	Capital Requirements Directive IV
FSC	7	2013	Euro Exchange Rates for the twelve month period commencing 31 December 2013
FSC	8	2013	Country Risk Update
FSC	1	2014	COREP Project Communication Update: Contingency Filing Facility
FSC	2	2014	COREP Project Communication Update: Invoke Filing Portal Available
FSC	5	2014	Euro Exchange Rates for the twelve month period commencing 31 December 2014
FSC	2	2015	Euro Exchange Rates for the 12 month period commencing 31 December 2015
FSC	2	2015	Country Risk Update
FSC	1	2016	Country Risk Update 01/16 Improving Global AML/CFT Compliance: on-going process.
FSC	2	2016	Country Risk Update 02/16 Improving Global AML/CFT Compliance: on-going process.
FSC	3	2016	Country Risk Update 03/16 Improving Global AML/CFT Compliance: on-going process.
FSC	4	2016	Euro Exchange Rates for the 12 month period commencing 31st December 2016
FSC	4	2016	Country Risk Update 04/16 Improving Global AML/CFT Compliance: on-going process
GFSC	1	2017	Country Risk Updates 01/17
GFSC	2	2017	Country Risk Updates 02/17
GFSC	5	2017	Euro Exchange Rates for twelve month period commencing 31 December 2017
GFSC		2018	GFSC Fees Newsletter 2018-2019
GFSC	1	2018	Country Risk Updates 01/18
GFSC	1	2018	IDD Frequently Asked Questions
GFSC	1	2018	PRIIPs - Packaged Retail and Insurance based Investment Products
GFSC	1	2018	Euro Exchange Rates for twelve month period commencing 31 December 2018
GFSC		2019	GFSC Fees Newsletter 2019-2020
GFSC	6	2019	Euro Exchange Rates for twelve month period commencing 31 December 2019
GFSC		2020	GFSC Fees Newsletter 2020-2021
GFSC	1	2020	Markets in Financial Instruments Directive (MiFID II) – Annual submission by Category 1 and Category 2 firms
GFSC	1	2020	Markets in Financial Instruments Directive (MiFID II) – Annual submission by 50,000 Euro firms
GFSC	1	2020	Euro Exchange Rate for twelve months commencing 31 December 2020 - Revised edition on 21/04/2021
GFSC	1	2021	Euro Exchange Rate for twelve months commencing 31 December 2021
GFSC	1	2022	Euro Exchange Rate for twelve months commencing 31st December 2022

Investment Services - Presentations

	11	2006	Presenting the revised AML/CFT Guidance Notes David Parody
	6	2006	Passporting of Investment Services to the UK Marcus Killick
	11	2007	The revised AML/CFT Guidance Notes GACO - David Parody
	11	2007	The FSC's approach to AML/CFT Compliance GACO - David Parody
	10	2008	The end of banking privacy STEP Conference - Hong Kong - D Parody
	2	2008	Gibraltar London Seminar Private Clients Marcus Killick
	3	2009	Revised Risk Assessment Methodology, Corporate Governance and Approved Persons Gibraltar Insurance Institute - Gibraltar Society of Chartered & Certified Accountancy Bodies - Gibraltar Association of Compliance Officers David Parody
	1	2010	ICAAP The FSC's Expectations, Common Errors and pitfalls
ESMA	388	2012	Guidelines on certain aspects of the MiFID compliance function requirements
	4	2012	GACO-FSC Risk Methodology Workshop Slides, case study and templates for the GACO workshop held on 14 November 2012 by the FSC
	1	2013	AIFMD - Regulatory Aspects Slides from an FSC seminar held on 20th June 2013 by Joanne Beiso
		2019	GACO Conduct Seminar