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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.
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Client Assets
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| Issue Date | Publication |
|---|---|
| 30 Oct 2020 | Client Asset Acknowledgement Letters |
| 28 Sep 2006 | Client Securities Rules |
| 14 Dec 2004 | Client Securities Rules |
| 23 Dec 2003 | Client Money Rules |
|
28 Jul 2003 (updated 22 Feb 2022) |
Client Securities Rules |
| 28 Jul 2003 | Code of Conduct |
| 17 Mar 2003 | Client Money Rules |
| 17 Mar 2003 | Client Securities Rules |