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4. Supervision
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5. Search regulations by topic
   • Account Opening
   • Anti-Money Laundering & Counter-Financing of Terrorism
   • Asset Management
   • Client Assets
   • Corporate Finance, Placing and Underwriting
   • Cybersecurity
   • Depositary services for relevant CISs
   • Financial Resources Rules
   • Know Your Client / Client Agreement
   • Order Handling and Execution
   • OTC Derivatives
   • Professional Investors
   • Risk Management (other than SMF)
   • Securities Margin Finance ("SMF")
   • Suitability
   • Others

This page is designed to assist you to locate circulars, FAQs and thematic reports published by Intermediaries Supervision. Please click on the frequently searched terms or enter keywords for an advanced search. For complete lists, please refer to the dedicated pages for circulars, FAQs and thematic reports.

Codes and Guidelines relating to the supervision of intermediaries are listed separately.

Last update: 9 Jan 2019