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 (Amendment) Bill, 2021 |
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| 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. |
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| 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 | |
