Guidelines

Guidelines Evaluating Competency

Date of effect:

April 2022

Legal Code:

GEN-ADVI-04/28-0005

Type:

RCTS

Status:

Final

Guidelines Fitness and Propriety

Date of effect:

April 2022

Legal Code:

RCTS-GUI2022/05-0007

Type:

RCTS

Status:

Final

Guidelines for Collective Investment Schemes

Date of effect:

August 2023

Legal Code:

SR-GUID-2023/08-0001

Type:

Securities

Status:

Final

Guidelines for Collective Investment Schemes – Conflict of Interest &Risk Management

Date of effect:

November 2023

Legal Code:

SR-GUID-2023/11-0003

Type:

Securities

Status:

Final

Guidelines for Regulatory Oversight of Credit Rating Agencies

Date of effect:

November 2005

Legal Code:

SR-GUID-05/10-0014

Type:

Securities

Status:

Final

Guidelines For The Operation Of Clients Holding Accounts

Date of effect:

October 2010

Legal Code:

SR-GUID-10/10-0020

Type:

Securities

Status:

Final

Guidelines For The Operation Of Clients Holding Accounts

Date of effect:

October 5, 2010

Legal Code:

SR-GUID-10/10-0020

Type:

Securities

Status:

Final

Guidelines For The Retail Repo Mismatch Ratio Prudential Benchmark

Date of effect:

September 28, 2018

Legal Code:

SR-GUID-18/09-0025

Type:

Securities

Status:

Final

Guidelines Material Breaches

Date of effect:

January 2024

Legal Code:

RCTS-GUI 2024/01-0014

Type:

RCTS

Status:

Final

Guidelines Minimum Content of Business Plan

Date of effect:

May 3033

Legal Code:

GEN-ADVI-05/26-0006

Type:

RCTS

Status:

Final

Guidelines on Conduct Review Committee

Date of effect:

Legal Code:

SR-GUID-14/03-0022

Type:

Securities

Status:

Final

Guidelines on Dividend Distribution for Securities Dealers

Date of effect:

August 2023

Legal Code:

SR-GUID-2023/08-0002

Type:

Securities

Status:

Final

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Guidelines

Guidelines Evaluating Competency

Guidelines Fitness and Propriety

Guidelines for Collective Investment Schemes

Guidelines for Collective Investment Schemes – Conflict of Interest &Risk Management

Guidelines for Regulatory Oversight of Credit Rating Agencies

Guidelines For The Operation Of Clients Holding Accounts

Guidelines For The Operation Of Clients Holding Accounts

Guidelines For The Retail Repo Mismatch Ratio Prudential Benchmark

Guidelines Material Breaches

Guidelines Minimum Content of Business Plan

Guidelines on Conduct Review Committee

Guidelines on Dividend Distribution for Securities Dealers

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