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
Guidelines for Collective Investment Schemes Date of effect: August 2023 Legal Code: SR-GUID-2023/08-0001 Type: Securities Status: Final Download
Guidelines for Collective Investment Schemes – Conflict of Interest &Risk Management Date of effect: November 2023 Legal Code: SR-GUID-2023/11-0003 Type: Securities Status: Final Download
Guidelines for Regulatory Oversight of Credit Rating Agencies Date of effect: November 2005 Legal Code: SR-GUID-05/10-0014 Type: Securities Status: Final Download
Guidelines For The Operation Of Clients Holding Accounts Date of effect: October 2010 Legal Code: SR-GUID-10/10-0020 Type: Securities Status: Final Download
Guidelines For The Operation Of Clients Holding Accounts Date of effect: October 5, 2010 Legal Code: SR-GUID-10/10-0020 Type: Securities Status: Final Download
Guidelines For The Retail Repo Mismatch Ratio Prudential Benchmark Date of effect: September 28, 2018 Legal Code: SR-GUID-18/09-0025 Type: Securities Status: Final Download
Guidelines Material Breaches Date of effect: January 2024 Legal Code: RCTS-GUI 2024/01-0014 Type: RCTS Status: Final Download
Guidelines Minimum Content of Business Plan Date of effect: May 3033 Legal Code: GEN-ADVI-05/26-0006 Type: RCTS Status: Final Download
Guidelines on Conduct Review Committee Date of effect: Legal Code: SR-GUID-14/03-0022 Type: Securities Status: Final Download
