GFSC
Advisory
41 published document(s) from Guernsey Financial Services Commission.
| Citation | Status | Summary |
|---|---|---|
| 2021 Sanctions Thematic Review | Issued | This is a thematic review report published by the Guernsey Financial Services Commission summarising the findings of its 2021 review into how banks, fiduc… |
| Advisory Notice Regarding Initial Coin Offerings (2017-09-26) | Issued 2017-09-26 | This is a short public advisory issued by the Guernsey Financial Services Commission (GFSC) warning consumers about Initial Coin Offerings (ICOs), a metho… |
| Beneficial Ownership of Guernsey and Alderney Legal Persons – Thematic Review 2018/2019 | Issued 2019-06-05 | This is a Guernsey Financial Services Commission thematic review report, published in 2019, summarising the findings of an onsite and questionnaire-based… |
| Business Continuity Planning and Disaster Recovery Management in the Banking Sector of the Bailiwick of Guernsey (2008-10) | Issued 2008-10-01 | This is a thematic report published by the Guernsey Financial Services Commission in October 2008 summarising the findings of a review into business conti… |
| Client Money - Fiduciary - Thematic Review 2024 | Issued 2025-02-13 | This is a GFSC thematic review report summarising findings from a 2024 review of Client Money controls at primary fiduciary licensees (trust and corporate… |
| Client Money - Investment - Thematic Review 2024 | Issued 2025-02-13 | This is a GFSC thematic review report summarising findings from a 2024 review of Client Money controls at investment licensees (designated administrators,… |
| Client Money Thematic Review 2016 | Issued 2017-02-17 | This is a GFSC report on the findings of its 2016 Thematic Review into how fiduciary licensees in Guernsey operate Client Money arrangements. It is an inf… |
| Conflicts of Interest - Fiduciary - Thematic Review 2025 | Issued 2025-09-22 | This is a thematic review report published by the Guernsey Financial Services Commission summarising findings from a 2025 review of how fiduciary licensee… |
| Conflicts of Interest - Investment - Thematic Review 2025 | Issued 2025-09-22 | This is a thematic review report published by the Guernsey Financial Services Commission summarising the findings of a 2025 review into how investment and… |
| Correspondent and intermediary relationships in the investment sector - Thematic Review (2025-12-15) | Issued 2025-12-15 | This GFSC thematic review reports on onsite examinations of investment sector firms' handling of regulated intermediary and correspondent relationships un… |
| Data Security - A Thematic Report on Practices within the Fiduciary Sector (2014-04) | Issued 2014-04-16 | This is a thematic report published by the Guernsey Financial Services Commission summarising the results of a 2013 review of data security practices acro… |
| Fiduciary Decision Making in Respect of Assets Under Trust - Thematic Review 2015 | Issued 2016-01-11 | This is a GFSC thematic review report summarising the findings of a 2015 review into how Guernsey trust service providers (fiduciary licensees) make decis… |
| Financial Crime Governance, Risk and Compliance – Fund Managers & Fund Administrators (Thematic Review 2017) | Issued 2017-11-15 | This is a thematic review report published by the Guernsey Financial Services Commission summarising findings from a 2016 review of financial crime govern… |
| Financial Crime Governance, Risk and Compliance – Smaller Firms in the Trust and Corporate Service Provider Sector: Thematic Review 2017 | Issued 2018-05-14 | This is a GFSC thematic review report summarising findings from a 2017 survey and on-site visits to 35 smaller trust and corporate service providers (TCSP… |
| Financial Crime Training Thematic Review - Report of Findings (2016-06-08) | Issued 2016-06-08 | This is a thematic review report published by the Guernsey Financial Services Commission's Financial Crime Supervision and Policy Division, summarising fi… |
| General Insurance – Are Customers Treated Fairly? Thematic Review 2018 | Issued 2018-12-18 | This is the GFSC's 2018 thematic review report examining whether general insurance intermediaries in the Bailiwick of Guernsey treat customers fairly. It… |
| Governance, Risk and Compliance Controls to Counter Financial Crime - Estate Agency, Legal and Accountancy Services - Thematic Review 2024 | Issued 2024-04-04 | This is a thematic review report published by the Guernsey Financial Services Commission summarising findings from an on-site and desk-based review of gov… |
| Insurance Reserving Thematic Review 2024 | Issued 2025-02-04 | This is a thematic review published by the GFSC summarising the findings of a review into reserving methodology and practices among general insurers and r… |
| Insurer Annual Returns Thematic Review 2018 | Issued 2018-11-30 | This is the GFSC's report on its 2018 Thematic Review of insurer annual returns, examining whether the quantitative and qualitative information licensed i… |
| Investment and Long Term Insurance Sales Practice - Thematic Review 2017 | Issued 2017-09-11 | This is the GFSC's 2017 thematic review report on how investment and long term insurance intermediaries are complying with existing sales practice and sui… |
| ML and TF Business Risk Assessments Thematic Review - 2022 | Issued 2022-12-15 | This is a GFSC thematic review reporting on the Commission's examination of money laundering (ML) and terrorist financing (TF) Business Risk Assessments (… |
| Managing Outsourcing Risk - Practices within the Banking Sector (2011-05) | Issued 2011-05-01 | This is a thematic report published by the Guernsey Financial Services Commission's Banking Division, summarising the results of a 2011 review into how Gu… |
| Managing the risk posed by Politically Exposed Persons - Thematic Review (2023-07-27) | Issued 2023-07-27 | This is a thematic review report published by the Guernsey Financial Services Commission (GFSC) summarising the findings of its 2022 to 2023 review of how… |
| Motor Trade - Thematic Review - 2025 | Issued 2026-03-27 | This is the Guernsey Financial Services Commission's first thematic review of the motor finance sector, examining how licensees under the Lending, Credit… |
| Outsourcing in the Banking Sector in the Bailiwick of Guernsey - Thematic Report (2008-11) | Issued 2008-11-01 | This is a thematic report issued by the Guernsey Financial Services Commission summarising the findings of its 2008 review into outsourcing practices in t… |
| Pension Arrangements in the Bailiwick - Thematic Review 2017 | Issued 2018-02-16 | This is a thematic review report published by the Guernsey Financial Services Commission (GFSC) following a 2017 survey and onsite visits examining how fi… |
| Red Alert - Financial Sanctions Evasion Typologies: Russian Elites and Enablers (2022-07) | Issued | This is a Red Alert originally issued by the UK's National Economic Crime Centre (NECC) and HM Treasury's Office of Financial Sanctions Implementation (OF… |
| Report on the 2019 Thematic Review of Insurer Cash Management and Control of Funds (February 2020) | Issued 2020-02-06 | This is a thematic review report published by the Guernsey Financial Services Commission summarising findings from its 2019 review of cash management and… |
| Report on the Thematic Review of Insurance Managers' Client Take On Procedures (2015-07-24) | Issued 2015-07-24 | This is a thematic review report in which the Guernsey Financial Services Commission summarises findings from onsite visits to a sample of licensed Insura… |
| Report on the Thematic Review of Investment and Long-term Insurance Sales Practice (2014-06) | Issued 2014-06-01 | This is a thematic review report published by the Guernsey Financial Services Commission summarising findings from on site visits conducted in late 2013 t… |
| Report on the Thematic Review of the Sales of General Insurance Add-on Products (December 2015) | Issued 2015-12-01 | This is a thematic review report published by the Guernsey Financial Services Commission examining how general insurance intermediary licensees and their… |
| Report on the Thematic Review on Reinsurance and Other Forms of Risk Transfer (2021) | Issued 2022-02-08 | This is a thematic review report published by the Guernsey Financial Services Commission summarising the findings of its 2021 review of how licensed insur… |
| Reporting Suspicion - Thematic Review 2020 (2021-07-15) | Issued 2021-07-15 | This is a thematic review report published by the Guernsey Financial Services Commission summarising the findings of a 2020 review into how firms report s… |
| Review of the Guernsey Green Fund Regime - Thematic Review 2020-2021 | Issued 2021-03-11 | This is a thematic review report published by the Guernsey Financial Services Commission summarising findings from its 2020-2021 review of the Guernsey Gr… |
| Review of the Pension Transfer Landscape in the Bailiwick - Thematic Review 2021-2022 | Issued 2022-06-09 | This is a thematic review published by the Guernsey Financial Services Commission (GFSC) summarising findings from a 2021 to Q1 2022 review of pension tra… |
| Risk Warning Regarding the Increased Use of Compromised E-mail Accounts to Commit Fraud (2015-03-11) | Issued 2015-03-11 | This is a risk warning from the Guernsey Financial Services Commission (GFSC) alerting financial institutions to a rise in fraud attempts carried out via… |
| Risk warning regarding fraud against customers in southern Africa (2013-02-13) | Issued 2013-02-13 | This is a risk warning issued by the Guernsey Financial Services Commission alerting licensees to an increase in fraud targeting customers based in southe… |
| Sanctions Thematic Review - 2021 (2022-05-11) | Issued 2022-05-11 | This is a thematic review report published by the Guernsey Financial Services Commission summarising the findings of its 2021 review into banks', fiduciar… |
| Source of Funds/Source of Wealth in the Private Wealth Management sector - Thematic Review (2020-07-07) | Issued 2020-07-07 | This is a Guernsey Financial Services Commission thematic review report, published 7 July 2020, examining how firms in the private wealth management secto… |
| Thematic Review 2015 - Alternative Custody Arrangements of Open Ended Collective Investment Schemes (2016-02-04) | Issued 2016-02-04 | This is a thematic review report published by the GFSC summarising findings from a 2015 survey of open ended Class B and Class Q collective investment sch… |
| Thematic Review of Unclaimed Client Money of Collective Investment Schemes (2023) | Issued 2023-07-21 | This is a Thematic Review report issued by the GFSC summarising a 2022-2023 review into how unclaimed and unallocated client money is handled across Guern… |