Guideline Conversion Date of effect: April 2009 Legal Code: PR-GUID-09/04-0017 Type: Pension Status: Final Download
Guideline Documents and Information for Licensing and Registration Date of effect: August 2022 Legal Code: RCTS-GUID-2022/09-0013 Type: RCTS Status: Final Download
Guideline Fitness and Propriety Date of effect: April 2022 Legal Code: RCTS-GUI2022/05-0007 Type: Pension Status: Final Download
Guideline Fitness and Propriety Date of effect: April 2022 Legal Code: RCTS-GUI2022/05-0007 Type: Securities Status: Final Download
Guideline for Fitness and Propriety Date of effect: April 2022 Legal Code: RCTS-GUI2022/05-0007 Type: Insurance Status: Final Download
Guidelines – Large Exposure Framework For Securities Licensees Date of effect: December 29, 2017 Legal Code: SR-GUID-17/12-0024 Type: Securities Status: Final Download
Guidelines Appointment of Auditor by Service Providers Date of effect: AUGUST 15, 2022 Legal Code: RCTS-GUI2022/06-0008 Type: RCTS Status: Final Download
Guidelines Criteria for Auditor Date of effect: December 2021 Legal Code: GEN-ADVI-21/12-0004 Type: Pension Status: Final Download
Guidelines Criteria for Auditors Date of effect: December 2021 Legal Code: GEN-ADVI-21/12-0004 Type: Insurance Status: Final Download
Guidelines Establishment of Internal Controls by Service Providers Date of effect: AUGUST 15, 2022 Legal Code: RCTS-GUI2022/06-0009 Type: RCTS Status: Final Download
Guidelines Evaluating Competency Date of effect: April 2022 Legal Code: GEN-ADVI-04/28-0005 Type: RCTS Status: Final Download
Guidelines Fitness and Propriety Date of effect: April 2022 Legal Code: RCTS-GUI2022/05-0007 Type: RCTS Status: Final Download