Guidelines
 Published Date: 10 September 2020

Guidelines on Individual Accountability and Conduct

Guidance on the five high level outcomes that financial institutions should achieve to promote the accountability of senior managers, strengthen oversight over material risk personnel, and reinforce conduct standards among all employees.
Applies to: Banking , Licensed Trust Company , Licensed Financial Adviser , Insurance , Dealing in Capital Markets Products , Credit Rating Agency , Corporate Finance Advisory , Clearing House , Central Securities Depository , Benchmark Administrator/Submitter , Approved CIS Trustee , Holding Company of Exchange or Clearing House , Licensed Fund Management Company , Markets and Exchanges , Money Broker , Product Financing , Providing Custodial Services , Registered Business Trust , Registered Fund Management Company , REIT Management , Securities Crowdfunding , Venture Capital Fund Management Company , Trade Repository , Payments , Registered Insurance Broker , Approved Insurance Broker
View Document Guidelines on Individual Accountability and Conduct (325.8 KB)

Resources