Consultation Papers

Consultation Papers

Consultation Paper on Measures to address the risks posed by the use of sign-on incentives in the recruitment of financial advisory representatives

Consultation Paper closing date: 09 April 2018

Consultation Papers

Consultation Paper on Draft Regulations for Mandatory Trading of Derivatives Contracts

Consultation Paper closing date: 23 March 2018

28 October 2004

Public Financial Industry Disputes Resolution Centre

08 September 2004

IRB Approach Asset Class Definitions and Size Limits

26 August 2004

Proposed Changes to Risk-Based Capital Requirements and Conduct of Business Limits for Securities Financing Activities

25 August 2004

IRB Approach Rollout &Exclusions

11 August 2004

Business Trusts Regulations

30 July 2004

IRB Approach Definition of Default

19 July 2004

Establishing a New Regulatory Framework for Trust Companies

16 July 2004

Capital Treatment for Private Equity and Venture Capital ("PEVC") Investments

30 June 2004

Guidelines on Investment and Voting Policies

24 June 2004

Draft Information Paper on Good Practices for Licensed Financial Advisers and Exempt Financial Advisers

Last Modified on 27/11/2017