Business Standards
- CA Capital Adequacy
- BC Business Conduct
- CL Client Assets
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RM Risk Management
- Chapter RM-A Introduction
- Chapter RM-B Scope of Application
- Chapter RM-1 General Requirements
- Chapter RM-2 Counterparty Risk
- Chapter RM-3 Liquidity Risk
- Chapter RM-4 Market Risk
- Chapter RM-5 Operational Risk
- Chapter RM-6 Derivative Transactions Risk
- Chapter RM-7 Outsourcing Risk
- Chapter RM-8 Group Risk
- Chapter RM-9 Cyber Security Risk
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FC Financial Crime
- FC-A Introduction
- FC-B Scope of Application
- FC-1 Customer Due Diligence
- FC-2 AML/CFT Systems and Controls
- FC-3 Money Laundering Reporting Officer (MLRO)
- FC-4 Suspicious Transaction Reporting
- FC-5 Staff Training and Recruitment
- FC-6 Record-Keeping
- FC-7 NCCT Measures and Terrorist Financing
- FC-8 Enforcement Measures
- FC-9 AML/CFT Guidance and Best Practice
- FC-10 Fraud
- TC Training and Competency
- GS Group Supervision
- DA Digital Financial Advice