Spacer Home | Contact | Site Map | Help Commission Logo
Commission Logo
Menu Top
The Commission Registry Banking Funds Insurance Investment Business Trust Companies Money Service Business Anti-Money Laundering
Menu Bottom
   Home > Investment Business > On Site Thematic Examinations > Themed on-site Examinations

INVESTMENT BUSINESS

Themed on-site Examinations

The Commission addresses key risk areas impacting regulated entities through specific sector-wide assessments followed by selected on-site examinations. Entities visited receive assessment reports, possibly with corrective actions agreed. A summary of key findings is then published on the Commission’s web-site for guidance purposes.

Thematic programmes conducted, and those planned, are shown below. Please click on title of each for more information.

 

Summary Findings of 2014 and 2015 On-Site Examination Program - May 2016PDF Document (316k)

Findings of mystery shopping research 5 October 2015PDF Document (503k)

Summary Findings of 2013 On-Site Examination Program - October 2014PDF Document (409k)

Dear CEO Letter - for Classes C & D Investment Business - 9 September 2011PDF Document (180k)

Dear CEO Letter - Investment Business - 6 April 2011PDF Document (510k)

Summary Findings of IB mystery shopping research - 2 February 2011 PDF Document (530k)

Dear CEO Letter - Investment Business - 26 April 2010 PDF Document (564k)

Dear CEO Letter - Investment Business - 21 May 2008 PDF Document (448k)

Summary Findings of IB mystery shopping research - 20 May 2008 PDF Document (431k)

Summary Findings of the IB On-Site Themed Examination Programme 2007 PDF Document (120k)

spacer Legal Information | Privacy Policy Statement | Email Disclaimer Last Updated: 13 May 2016