Underwriting guidelines for issuers of Asset Backed securities

The adequacy of the capital held by underwriters registered under the Securities Industry Act, 1995 (the SIA) has become a matter of concern to the Commission. With a capital requirement of five million dollars, underwriters registered under the SIA are not subject to the same requirements as those registered under the Financial Institutions Act, 1993 (the FIA).

Underwriting guidelines for issuers of Asset Backed securities

Scroll to Top

Acts

Bye-Laws

Rules

Orders

SRO Rule Making

Circulars, Bulletins, Policy Statements

Market Guidance – CIS Bye-Laws

Proposed Bye-Laws, Rules, Guidelines & Policies

Registration

Prudential Requirements and Filings

AML-CFT-CPF

Public Statements

Updates

Frequently Asked Questions (FAQs)

Investor Protection

Submit a Tip or Complaint

Resources for Investors

Orders

Notices

Media & Communications

Policy, Publications and Research

Our History

Who We Are

Our Leadership

Careers

Memorandums of Understanding

Procurement

Factsheets

Contact Us