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   Home > Investment Business > Forms > Contents



This page does not include any Forms relating to the Companies Registry (click here) or Banking Prudential Returns (click here).

The Forms on this page are subdivided into two sections, "General" and "Sector Specific", please scroll down the page to view
"Sector Specific" Forms, which are further subdivided by type.

Commission Forms are primarily presented in one of three formats:  Interactive pdf; Microsoft Word; or Microsoft Excel, and are generally to be submitted to the Commission in hard copy. The specific exceptions are the Commission’s Personal Questionnaire and those forms identified below with “ * ”, which may be submitted electronically.


The Commission requires Principal Persons and Key Persons applying for the first time, or those needing to update their information
(e.g. adding additional appointments), to do so by completing an electronic Personal Questionnaire (PQ) via the Web Portal.
The Commission will no longer accept paper-based PQ or Additional Appointment forms.
If you are accessing the Web Portal for the
first time you will be required to register before proceeding.
Please click on the following link:

Frequently Asked Questions relating to the completion of the electronic PQ can be found by clicking here.

Ceasing to Act

Please find below the ‘Notification of ceasing to act as Principal Person / Key Person’ Form’ which will remain in paper format. Guidance on completion is contained within the form.

PQ Notification of ceasing to act as Principal Person / Key Person Form



A fee may be required in addition to these Forms.  For information on fees payable to the Commission please click here.

Application for Investment Business / Trust Company Business

Annual Fee Forms

2016 Annual Fees Form will be made available via the Commission’s electronic portal.
Further information will be sent to registered persons by email.
QSMA Annual Fee Return


Notification of intention to rely on the QSMA Order
Investment Business Employee Information Form


Investment Business Class B Quarterly Returns
Investment Business QSMA Quarterly Returns

Subordinated Loan Agreements (“SLA”)

A Checklist has been provided to be utilised in respect of all subordinated loan agreements, to view the Checklist please click here.

FS(J)L SLA Proforma – Jersey Lender
FS(J)L SLA Proforma – Non-Jersey Lender


spacer Legal Information | Privacy Policy Statement | Email Disclaimer Last Updated: 19 April 2016