Insurance Distribution - 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.
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Insurance Distribution - Forms and Returns
Individual Questionnaire | ||||
Body Corporate Questionnaire | ||||
Royal Gibraltar Police Vetting Application Form Please note that an 'Individual Questionnaire' or a 'Notifiable Document' MUST be accompanied by a Royal Gibraltar Police Vetting Application Form in accordance with Section 30C of the Proceeds of Crime Act 2015. The form must be submitted to the Gibraltar Financial Services Commission, who will liaise with the RGP in order to make the relevant enquiries. For any applicant that is not a Gibraltarian, or has not lived in Gibraltar for the last 10 years, in addition to the RGP vetting form, he/she must also provide the GFSC with a report of their criminal record from the relevant authority in the jurisdiction/s in which they have been ordinarily resident for the last 10 years and/or from any other jurisdiction where the applicant has spent a considerable amount of years resident in the past. If the report is not in English, this must be accompanied by a translation from a certified Translator.
Notes for completion of the Royal Gibraltar Police Vetting Application Form: 1. The RGP Vetting Form must be completed by the applicant in full. Should any section be incomplete, this cannot be accepted. Note that the section in the form that states ‘To be completed by agency or organisation requiring vet’ should be left blank as this section is to be completed by the GFSC only. 2. All RGP Vetting Forms MUST be submitted together with the applicable Individual Questionnaire or Notifiable Document to which it relates. Please note that all applications/fit and proper assessments will be kept on hold and not be processed until the original RGP Vetting Form and fee is submitted together with the applicable Individual Questionnaire or Notifiable Document. The same will apply to any incorrect forms submitted. Should exceptional circumstances apply, please contact authorisations@gfsc.gi 3. The RGP and Individual Questionnaire or Notifiable Document cannot be accepted without any of the following: a) Payment of the £10 applicable fee by bank transfer only; and In order to obtain the relevant bank details, please liaise with the member of staff at the GFSC who is processing the application and they will provide you with the required information. Should you be unsure of the contact details, then please refer your query to authorisations@gfsc.gi b) APPLICATION Reference number. Please quote the following payment reference for any bank transfer: For an individual: “RGPNAMEOFAPPLICANT” For payments to settle for more than one applicant: i.e. If the firm is submitting an application for five individuals, the reference should be as follows: “RGPNAMEOFFIRMX5” For any further queries, please contact authorisations@gfsc.gi and a member of staff will be happy to assist.
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1 | 2018 | Individual Questionnaire Warranty |
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1 | 2018 | Body Corporate Questionnaire Warranty |
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1 | 2018 | Individual Questionnaire Directors Declaration |
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Insurance Distribution - Guidance Notes
1 |
Insurance Mediation Financial Services Guidance Note No. 1
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2 |
Outsourcing Financial Services Guidance Note No. 2
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3 |
Dealing with and Advising Clients Financial Services Guidance Note No. 3
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1 | 2018 | IDD Frequently Asked Questions |
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2 | 2019 | IDD Q&A |
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Insurance Distribution - Legislation
Insurance Distribution - Newsletters
Insurance Distribution - Presentations
11 | 2006 |
Presenting the revised AML/CFT Guidance Notes David Parody
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11 | 2007 |
The revised AML/CFT Guidance Notes GACO - David Parody
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11 | 2007 |
The FSC's approach to AML/CFT Compliance GACO - David Parody
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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
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4 | 2012 |
GACO-FSC Risk Methodology Workshop Slides, case study and templates for the GACO workshop held on 14 November 2012 by the FSC
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1 | 2018 |
Presentation on IDD Presentation to Industry on key features of IDD |
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