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Cayman Islands Monetary Authority
PO Box 10052, 80 Shedden Road
Elizabethan Square,
Grand Cayman KY1 - 1001
CAYMAN ISLANDS

Call Us On

+1 (345) 949-7089

Business Hours

Mon - Fri: 8.30 AM - 5.00 PM
Securities Regulatory Measures

Section 34 of the Monetary Authority Law enables the Authority to issue or amend Rules, Statements of Guidance and Statements of Principle. In addition, Section 48 provides for the issuance of a Regulatory Handbook to contain the policies and procedures of the Authority in carrying out its regulatory and co-operative functions.

The Authority has published an index of measures that contains links to the Rules, Statements of Guidance, Statements of Principle, Regulatory Policies, Regulatory Procedures and Forms that pertain to each industry regulated by the Authority. 

Rule (R) Statement of Guidance (SOG)
Regulatory Policy (RPY) Regulatory Procedure (RPR)
Form (F) Personal Questionnaire (PQ)
LEGISLATION  click for link
  R SOG RPY RPR F
LICENSING           
Regulatory Policy and IllustrativeList - Recognised Overseas Regulatory Authorities    

RPy
List

   
Licensing – Securities Investment Business         

SIB FORM
EXCL PERS
 

Approval of an auditor     RPy    
Fitness and Propriety     RPy RPr PQ
Consolidated Supervision     RPy    
Cessation and Non-Commencement of Business   SOG      

Issuing notices of decisions to declined applicants

      RPy  

Approved Stock Exchanges

   

RPy

List

   

Regulatory Policy - Criteria for Approving Changes in Ownership and Control

    RPY    
           
BUSINESS CONDUCT           
Outsourcing – Regulated Entities   SOG      

Corporate Governance

  SOG      

Nature, accessibility and retention of records

  SOG      

Use of The Internet

  SOG      

Marketing Policies of Licensees

  SOG      

Internal Controls

R SOG      

Client Understanding, Suitability, Dealing and Disclosure

  SOG      

Classification of Clients

  SOG      

Client Assets, Money and Safekeeping

  SOG      

Market Conduct

  SOG      

Business Continuity Management

  SOG      

Professional Indemnity Insurance    

  SOG      
           
PRUDENTIAL STANDARDS            

Reorganisation of Structure and Variation of Capital

  SOG      
           
REPORTING           

Prudential Reports and Statistical Returns

    RPy Current Reporting Schedule SIB FORM
          CPIS
           
           
ANTI MONEY LAUNDERING AND COMBATING THE FINANCING OF TERRORISM (AML/CFT)    SOG     NCA