Guidelines

Applicable Legislation

Securities Industry Act
(2011)

Investment Funds Act
(2019)

Financial & Corporate
Service Providers Acts (2020)

Digital Assets and Registered Exchanges Act (2024)

GFSR Countering Proliferation Financing Guidelines October 2026

Guideline On Suitability Of
Clients’ Securities Transactions

Management of Accounting
Records Guidelines

Financial and Corporate Service
Providers Guidelines

Applicable Legislation

Securities Industry Act
(2024)

Investment Funds Act
(2019)

Financial & Corporate
Service Providers Acts (2020)

Digital Assets and Registered Exchanges Act (2024)

Guidance Note on the Prevention of Money Laundering, Countering the Financing of Terrorism and Countering Proliferation Financing, including the Treatment of Politically Exposed Persons

Guidance Note For The Public On Complaints Against Licensees and Registrants

Guidance Notes On Complaints Handling by Licensees and Registrants

Guidance Note On Travel Rule Compliance For Digital Asset Businesses

Guidance Note On Self Risk Assessments – (Money Laundering, Terrorist Financing and Proliferation Financing)

GFSR Guidance Notes on Targeted Financial Sanctions Reporting Forms

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