Compliance Forms
Find all essential compliance-related forms here for your convenience.
Economic Substance Forms
| Form | Description | Deadline to File |
| Economic Substance Act, Form B | To be filed by Included Entities or Holding Companies (engaged, wholly or in part, in relevant activities) | Refer to the Timing for filings in the Economic Substance Guidance Notes |
| Economic Substance Act, Form C | To be filed by Pure Equity Holding Companies | Refer to the Timing for filings in the Economic Substance Guidance Notes |
| Economic Substance Act, Form D | To be filed by Non-Included Entities | Refer to the Timing for filings in the Economic Substance Guidance Notes |
| Form E | To be filed by Non-Included Entities applying for Certificate of Tax Exemption from the Belize Tax Services | Annually |
| Mandarin Translated Economic Substance Forms | ||
|
Economic Substance Act, Form B - Mandarin translated 經濟實質法案-表格B |
To be filled by Included Entities or Holding Companies (engaged, wholly or in part, in relevant activities) |
Refer to the Timing for filings in the Economic Substance Guidance Notes |
|
Form C - Mandarin translated
經濟實質法案-表格C |
To be filled by Pure Equity Holding Companies |
Refer to the Timing for filings in the Economic Substance Guidance Notes |
|
Form D - Mandarin translated
經濟實質法案-表格D |
To be filled by Non-Included Entities |
Refer to the Timing for filings in the Economic Substance Guidance Notes |
Reference: Economic Substance Guidance Notes
Regulatory Reports
| Form | Description | Deadline to File |
| AML/CFT/CPF Questionnaire |
Provide information to assess licensees and registrants’ compliance with their ML/TF/PF obligations. This questionnaire is to be completed by licensees and registrants on an annual basis and must be submitted through LicenSys. |
To be completed at the last day of each year and submitted within 10 calendar days after the reporting year. |
| Targeted Financial Sanctions (TFS) Questionnaire |
Provide information to assist in understanding the TF risks of licensees and registrants. Completion of the TFS Questionnaire has been established as an annual requirement for licensees and registrants. |
Issued on the third Monday in January at the beginning of each year. Respondents will have 15 business days to complete and submit the questionnaire. |
| FSC REP 1 |
Provide information to assess whether registrants engaged in securities business are maintaining appropriate market conduct and adequate financial resources and solvency. The report must be completed by registrants and submitted via LicenSys. |
No later than 30 days after the 1st, 2nd, 3rd and 4th quarters of the financial year. |
| FSC REP 1: Quarterly Interim Financial Statements |
Template for Quarterly Interim Financial Statements that must be completed by Registrants under the Securities Industry Act (SIA) and uploaded to LicenSys as part of the FSC Rep1 submission. |
No later than 30 days after the 1st, 2nd, 3rd and 4th quarters of the financial year. |
| FSC REP 2 |
Provide information to assess and monitor regulatory and AML/CFT/CPF risks for licensees and registrants except for Registered Agents and Managing Agents and submitted via LicenSys. |
To be completed at the last day of each year and submitted within 10 calendar days after the reporting year. |
| FSC REP 2: Annual Financial Statements for Licensees |
Template for Annual Financial Statements to be completed by all Licensees except Registered Agents and Managing Agents. Must be uploaded via LicenSys as part of the FSC Rep 2 submission. |
To be completed at the last day of each year and submitted within 10 calendar days after the reporting year. |
| FSC REP 3 |
Provide information to assess and monitor regulatory and AML/CFT/CPF risks for Registered Agents and submitted via LicenSys. |
To be completed at the last day of each year and submitted within 10 calendar days after the reporting year. |
| Compliance Declaration |
Annual Declaration by Registrants engaged in securities business to indicate status of compliance with standard conditions of registration, level and status of investor complaints for the business and their status of compliance with AML/CFT obligations imposed on securities business under the Money Laundering and Terrorism (Prevention) Act. |
To be submitted within 90 calendar days after the reporting year. |
| FSC REP 5 |
Monthly transaction reports by Payment Processing Services licensees. Submissions must be made via LicenSys. |
To be submitted within 10 days after the end of each month. |
| Audited Financial Statements |
Audited financial statements from Registrants under the Securities Industry Act (SIA). Audited financial statements must comply with applicable accounting standards, be audited by an approved and appointed independent auditor, and be submitted via LicenSys. |
To be submitted within 120 calendar days after the reporting year. |