| Introduction |
User's Guide |
UG |
Apr 20 |
PDF Version |
| Executive Summary |
ES |
Oct 14 |
PDF Version |
High Level
Standards |
Authorisation |
AU |
Jan 21 |
PDF Version |
| Principles of Business |
PB |
Jan 11 |
PDF Version |
| High Level Controls |
HC |
Apr 21 |
PDF Version |
| Auditors and Accounting Standards |
AA |
Apr 18 |
PDF Version |
| General Requirements |
GR |
Apr 20 |
PDF Version |
| Business Standards |
Capital Adequacy |
CA |
Oct 19 |
PDF Version |
| Business and Market Conduct |
BC |
Oct 20 |
PDF Version |
| Client Assets |
CL |
Jan 18 |
PDF Version |
| Risk Management |
RM |
Apr 19 |
PDF Version |
| Financial Crime |
FC |
Jan 21 |
PDF Version |
| Training and Competency |
TC |
Jan 16 |
PDF Version |
| Digital Financial Advice |
DA |
Apr 19 |
PDF Version |
| Reporting Requirements |
CBB Reporting |
BR |
Jan 20 |
PDF Version |
| Public Disclosure |
PD |
(to be issued) |
PDF Version |
Enforcement &
Redress |
Enforcement |
EN |
Apr 21 |
PDF Version |
| Compensation |
CP |
(to be issued) |
PDF Version |
| Sector Guides |
Category 1 licensees |
C1 |
(to be issued) |
PDF Version |
| Category 2 licensees |
C2 |
(to be issued) |
PDF Version |
| Category 3 licensees |
C3 |
(to be issued) |
PDF Version |
| Islamic Investment Firms |
IF |
(to be issued) |
PDF Version |
