Guidance Notes and Statements Of Practice

Guidelines

Applicable Legislation

Securities Industry Act
(2011)

Investment Funds Act
(2019)

Financial & Corporate
Service Providers Acts (2020)

Guideline On Suitability Of
Clients' Securities Transactions

Management of Accounting
Records Guidelines

Financial and Corporate Service
Providers Guidelines

Applicable Legislation

Securities Industry Act
(2011)

Investment Funds Act
(2019)

Financial & Corporate
Service Providers Acts (2020)

Guidance Note on the Contracts For Differences Rules, 2020
Elective Professional Client – Guidance Notes (Rule 25)

Guidance Note on the Automatic Exchange of
Financial Account Information Act, 2016

Guidance Note on Financial
Crime Risk Management

Guidance Note on Proliferation
Financing

Guidance Notes for E-Filing

Guidance Notes for IPO
Approvals

Guidance Notes for Assessing
The Fitness and Propriety of MLROs

Guidance Notes for On-Site
Examination Process

Guidance Notes for Material
Change Information

Guidance Notes for Fast Track
Application Process for Licensing under the IFA, 2003

Statements of Practice

Applicable Legislation

Securities
Industry Act (2011)

Investment
Funds Act (2019)

Financial & Corporate
Service Providers Acts (2020)

Statement of Practice for the
Issuance of Blank Licenses