SIA Bill 2011
Other Information

Our Vision

A vibrant, competitive financial services sector that has sound regulatory practices and policies that promote confidence.

Our Purpose

To contribute to the growth and development of a financial services sector that is vibrant and competitive.

Minimum Education Requirements

Minimum Education Requirements 2017 PDF

New Application Process Series 7 and Series 6 Examinations

New Application Process - Series 7 and Series 6 Examinations PDF

Securities Industry Act, 2011

Ongoing Reporting Obligations for Constituents under the SIA, 2011 PDF

Securities Industry Act, 1999

Registrar and Transfer Agent Registration Process PDF

Investment Funds Act, 2003

Continuing Obligations for Constituents under the IFA, 2003 PDF

Financial and Corporate Service Providers Act, 2000

2016 Authorised Accountants for FCSP Examinations PDF  
Amended Notice Re: On-site Examination of Financial and Corporate Service Providers PDF  
FCSP Licensing Requirements PDF
Financial and Corporate Service Providers Guidelines PDF
AML Code of Practice for FCSPs PDF


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