Consultation Documents

The Commission’s regulatory and supervisory authority is derived from legislation comprising various Acts and subsidiary legislation made thereunder consisting of Regulations, Rules and Guidelines.

Draft documents are circulated for industry-wide consultation and public review.

Submission of Comments
All comments, queries and/or concerns are welcomed and should be submitted to the noted addressees. You are however cautioned to observe the stated deadlines.

Draft Documents for Consultation

Document For Review	Review Period	Comment
Securities Industry Bill, 2024	29/12/2023 – 1/3/2024
Digital Assets and Registered Exchanges Bill, 2023	25/4/2023 – 31/5/2023
Carbon Credit Trading Bill, 2022	5/7/2022 – 12/7/2022
Draft Digital Assets and Registered Exchanges (Amendment) Bill, 2022	26/4/2022 – 13/5/2022
Draft Digital Assets and Registered Exchanges (Anti-Money Laundering and Countering the Financing of Terrorism) Rules, 2022	30/3/2022 – 29/4/2022
Financial and Corporate Service Providers (Money Lenders) Rules, 2022	2/2/2022 – 15/3/2022
Securities Industry (Amendment) Bill, 2021
Securities Industry (Amendment) Regulations, 2021; Draft Securities Industry (Financial Resources) Regulatory Rules, 2021; and Draft First Schedule to Securities Industry (Financial Resources) Regulatory Rules, 2021 – Form FRR.
Draft Securities Industry (Fee) (Amendment) Rules, 2020	6/11/2020 – 20/11/2020
Draft Investment Funds (Fees) (Amendment) Rules, 2020	6/11/2020 – 20/11/2020
Draft Financial and Corporate Service Providers (Fees) Rules, 2020	6/11/2020 – 20/11/2020
Guidance Notes on Elective Professional Client (Rule 25) of the Contracts for Differences Rules, 2020	4/11/2020 – 13/11/2020
Digital Assets and Registered Exchanges Bill, 2020	14/10/2020 – 20/10/2020
Financial and Corporate Service Providers Bill 2020	14/10/2020 – 20/10/2020