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
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