CIMA Launches Annual Prudential Information Survey for Registered Persons

On 31 December 2025, the Cayman Islands Monetary Authority (“CIMA“) launched a Prudential Information Survey for Registered Persons (the “Prudential Information Survey“).  The survey forms part of CIMA’s ongoing supervisory programme of registered persons under the Securities Investment Business Act (As Revised).

This new survey forms part of CIMA’s ongoing risk-based supervisory framework and is intended to assist CIMA in assessing sector-specific activities, exposures, and associated risk areas for Registered Persons operating in or from within the Cayman Islands.  The survey includes forty questions and includes questions which cover business profile and activity, market, legal and regulatory risk, Anti-Money Laundering (“AML“), the Countering of Terrorist and Proliferation Financing and sanctions risk management, operational resilience, technology and outsourcing and governance.

The data obtained will support CIMA’s efforts to enhance the resilience, transparency and prudential soundness of the securities investment business sector in the Cayman Islands.

Timing and Completion of the Survey

Registered Persons should note that, the Prudential Information Survey:

• is required to be completed by 31 March 2026 and thereafter annually by all Registered Persons under SIBA;
• covers the preceding calendar year; and
• is only accessible via REEFs (Regulatory Enhanced Electronic Forms Submission), CIMA’s online portal for electronic submission of required financial services information.

CIMA has also published Guidance for Registered Person Prudential Information Survey, which provides technical instructions and clarifications on the information to be submitted.

Existing Obligations Unchanged

This new requirement does not replace existing obligations. Registered Persons must continue to file the Annual Declaration on or before 15 January each year and complete CIMA’s AML Survey on or before 30 July each year.

Required Action

Registered Persons should ensure their compliance calendars and internal controls now reflect these reporting obligations and that data submitted across the different reports is consistent.  For those Registered Persons for which Maples provides registered office services, we will be reaching out shortly with detailed instructions for completion of the Prudential Information Survey.

If you require additional help to complete the Prudential Information Survey, please contact a member of our Regulatory team.