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 Securities 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|
|Licensing – Securities Investment Business||View|
|Approval of an Auditor||View|
|Fitness and Propriety||View||View||
|Cessation and Non-Commencement of Business||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|
|Corporate Governance - (Effective: 14 October 2023)||View|
|Client Understanding, Suitability, Dealing and Disclosure||View|
|Outsourcing – Regulated Entities||View|
|Nature, accessibility and retention of records||View|
|Cybersecurity for Regulated Entities||View||View|
|Marketing Policies of Licensees||View|
|Internal Controls (Effective: 14 October 2023)||View||View|
|Classification of Clients||View|
|Client Assets, Money and Safekeeping||View|
|Business Continuity Management||View|
|Professional Indemnity Insurance||View|
|Recognised Overseas Regulatory Authorities||View|
|List of Recognized Overseas Regulatory Authorities||View|
|Reorganisation of Structure and Variation of Capital||View|
|Prudential Reports and Statistical Returns||View|
|Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT)||View||View|