Section 34 of the Monetary Authority Act 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.
Below is an index of measures that contains a checklist for Rules, Statements of Guidance, Regulatory Policies, Regulatory Procedures and Forms that pertain to the Investment Funds sector.
A clear and precise directive issued to licensees on a subject matter that the Authority considers essential for the prudential supervision of regulated entities and which creates binding obligations on all licensees and for which a breach may lead to the imposition of a fine or regulatory action being taken against the licensee by the Authority pursuant to the exercise of its powers under the regulatory acts.
Guidance intended to assist licensees to comply with relevant acts, regulations, rules and statements of principles or to describe standards for conduct of business. Guidance contains recommendations on how licensees should operate and represent a measure against which the Authority will assess compliance by licensees.
A set of principles, a criteria, or approach to guide decisions and actions taken by the Authority in performing its regulatory and co-operative functions.
A set of actions, activities or tasks that the Authority will carry out in performing its regulatory and co-operative functions.
|LEGISLATION click for link|
|Cancellation of Certificates of Registration for Registered Private Funds||View||View|
|Licensing - Mutual Funds||View|
|Licensing - Mutual Fund Administrator||View|
|Approval of an Auditor||View|
|Local Auditor Sign Off - Mutual Funds and Mutual Fund Administrators||View|
|Fitness and Propriety||View||View||
|Cancellation of Licence or Certificate of Registration of Regulated Mutual Funds||View||View|
|Mutual Funds/Mutual Fund Administrators-Where contact is lost||View|
|Issuing notices of decisions to declined applicants||View|
|Approved Stock Exchanges||View|
|List of Approved Stock Exchanges||View|
|Regulatory Policy - Criteria for Approving Changes in Ownership and Control||View|
|Use of Restricted Words||View|
|Local Audit Sign-off for Private Funds||View|
|Local Audit Sign-off for Mutual Funds and Mutual Fund Administrators||View|
|Outsourcing – Regulated Entities||View|
|Corporate Governance - Licensees||View|
|Corporate Governance - Regulated Mutual Funds||View|
|Nature, accessibility and retention of records||View|
|Cybersecurity for Regulated Entities||View||View|
|Marketing Policies of Licensees||View|
|Business Continuity Management||View|
|Calculation of Asset Values - Regulated Mutual Funds||View|
|Calculation of Asset Values - Registered Private Funds||View|
|Segregation of Assets - Regulated Mutual Funds||View|
|Segregation of Assets - Registered Private Funds||View|
|Contents of Offering Documents||View|
|Marketing Materials - Registered Private Funds||View|
|Exemption from Audit Requirement - Regulated Mutual Funds||View|
|Exemption from Audit Requirement - Registered Private Funds||View|
|Exemption from Valuation - Registered Private Funds||View|
|Professional Indemnity Insurance||View|
|Prudential Reports and Statistical Returns||View|
Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT)