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Cayman Islands
SIX, Cricket Square
PO Box 10052
Grand Cayman KY1-1001
Cayman Islands

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+1 (345) 949-7089

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Monday - Friday, 8:30 a.m - 5:00 p.m

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.

Below is an index of measures that contains a checklist for RulesStatements of GuidanceRegulatory PoliciesRegulatory 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 laws.

Statement of Guidance ("SOG") 

Guidance intended to assist licensees to comply with relevant laws, 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.

Regulatory Policy ("RPy")

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.

Regulatory Procedure ("RPr")

A set of actions, activities or tasks that the Authority will carry out in performing its regulatory and co-operative functions.

Note: The following items marked with an asterisk () have been recently added or updated.
LEGISLATION  click for link
  Rule SOG Policy Procedure Form
Licensing – Securities Investment Business      View  


Approval of an Auditor     View    
Fitness and Propriety     View View

Personal Questionnaire


Declaration of Source of Wealth & Source of Funds

Consolidated Supervision     View    
Cessation and Non-Commencement of Business   View      

Issuing notices of decisions to declined applicants


Approved Stock Exchanges



List of Approved Exchanges     View    

Regulatory Policy - Criteria for Approving Changes in Ownership and Control

Use of Restricted Words     View    
Outsourcing – Regulated Entities   View      

Corporate Governance


Nature, accessibility and retention of records


Cybersecurity for Regulated Entities

View View      

Marketing Policies of Licensees


Internal Controls

View View      

Client Understanding, Suitability, Dealing and Disclosure


Classification of Clients


Client Assets, Money and Safekeeping


Market Conduct


Business Continuity Management


Professional Indemnity Insurance    

Recognised Overseas Regulatory Authorities      View    
List of Recognized Overseas Regulatory Authorities     View    
Succession Planning   View      

Reorganisation of Structure and Variation of Capital


Prudential Reports and Statistical Returns

Coordinated Portfolio Investment Survey         View
Anti-Money Laundering and Combating the Financing of Terrorism (AML/CFT)    View     View