Guidance

AML-CFT-CPF
In keeping with our mandate to create and promote such conditions in the securities industry to ensure its orderly growth, regulation and development, the Commission will from time to time issue guidance notes, circular letters, FAQs and policies:
  1. To assist registrants in their interpretation and compliance with the Securities Act 2012 ( as amended) and its related subsidiary legislation; and
  2. To reflect the Commission’s views on international/regional developments related to the securities industry.

Material Change Guidance

IOSCO News

As a member of the International Organisation of Securities Commissions (IOSCO), the Commission fully endorses the guidance provided by IOSCO, which are quite often extremely relevant in our local context. The Commission will update this information as required and encourages its Registrants to be guided accordingly. In the event of any doubt regarding IOSCO’s guidance, note that the Staff of the Commission is available to provide further, specific assistance as may be deemed necessary. Statement on Importance of Disclosure about COVID-19 Statement: https://www.iosco.org/library/pubdocs/pdf/IOSCOPD655.pdf Press release: IOSCO encourages issuers’ fair disclosure about COVID-19 related impacts https://www.iosco.org/news/pdf/IOSCONEWS568.pdf

IOSCO Alerts

Please click here to go directly to the IOSCO Investor Alerts Portal for more information. IOSCO Statement on Application of Accounting Standards during the COVID-19 Outbreak – IOSCONEWS561
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