Stakeholder Consultations in Progress
The Commission is reviewing the subsidiary legislation under the Securities Act and has developed the following draft rules and regulations for your review.
| No. | File Name | Download |
|---|---|---|
| 1 | The Securities (Compensation Fund) (Amendment) Regulations - 2020 FINAL | The Securities (Compensation Fund) (Amendment) Regulations, 2020 FINAL |
| 2 | Securities (Fees and Levies) Rules - 2020 | Securities (Fees and Levies) Rules 2020 |
| 3 | Securities (Collective Investment Scheme) Regulations - 2020 | Securities (Collective Investment Scheme) Regulations 2020 |
| 4 | Securities (Collective Investment Scheme) Rules - 2020 | Securities (Collective Investment Scheme) Rules 2020 |
| 5 | Securities (Capital Market Operators) (Licencing and Operations) Rules FINAL - 2020 | Securities (Capital Market Operators) (Licencing and Operations) Rules 2020 FINAL |
| 6 | Securities (Capital Market Operators) (General Licensing Procedures and Requirement - 2020 | Securities (Capital Market Operators) (General Licensing Procedures and Requirement |
| 7 | Registration of Securities Regulations - 2020 | Registration of Securities Regulations, 2020 |
| 8 | Recognition of SROs Regulations FINAL - 2020 | Recognition of SROs Regulations FINAL 2020 |
| 9 | Internal Complaints Handling Rules FINAL - 2020 | Internal Complaints Handling Rules FINAL 2020 |
| 10 | SRO (General Requirements) Rules - 2020 | SRO (General Requirements) Rules - 2020 |