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The 2016 compliance reports were published on 17 May 2016. For the 2016 reporting year there are 8 different reports as indicated in Table A below.
Financial Services Providers must submit the relevant compliance reports by the submission date specified in Table A.
Table A
Type of FSP
Reporting Date
Submission Date
Category I FSP without a Compliance Officer
31 December 2016
28 February 2017
Category I FSP with a Compliance Officer
31 May 2016
15 August 2016
Category II and IIA FSPs (Bi-Annual Report)
30 June 2016
31 December 2016

31 August 2016
28 February 2017

Category III FSP (Bi-Annual Report)
30 June 2016
31 December 2016

31 July 2016
31 January 2017

Category IV FSP
31 August 2016
31 October 2016
Foreign FSP
31 August 2016
31 October 2016
Compliance Officer Handover Report
One month after FSP informed of resignation
Key Individual / Sole Proprietor Handover Report
One month after compliance officer appointed
The reporting period is calculated from authorisation date or the date of the last report up to the reporting date stated in the second column above.
In the case where a financial services provider (FSP) is authorised for more than one category, only one report needs to be submitted. The FSP needs to submit the report that applies to the highest category it is licensed for. For example; an FSP that is licensed for Category I and II only need to submit the Category II report.
Please note that Compliance Reports may only be submitted AFTER the reporting date, but must be submitted ON or BEFORE the submission date.

The electronic submission method will be online submissions. Financial service providers and compliance officers are encouraged to use the online submission method.
If you have registered before please use your ID number and the password you used previously. If you are not registered for the program please click here
Should you have any enquiries relating the submission of the report please send an e-mail to the following e-mail address
If you find that the e-mail address of the Key Individual or Compliance Officer is incorrect please send a request to for the e-mail address to be updated.
Contact the FSB Call Centre on 0800 110 443 for further assistance.
A copy of the report is available in .pdf format only click here on the relevant report to open the pdf format:
Please note that hardcopy reports that are incorrectly completed or that are sent for the incorrect reporting date, will be returned and regarded as not submitted.
The same validations are used for the hardcopy and the online submission reports, so if the online submission report does not validate, do not send in the hard copy as it will be rejected, please make the necessary changes and resubmit. We do not accept hardcopy reports in any other format than the report printed under the relevant FAIS Notice.