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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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Order Handling and Execution
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| Issue Date | Publication |
|---|---|
| 22 Dec 2022 | Data Standards for Order Life Cycles |
| 18 Dec 2020 | Client Facilitation |
|
31 Jul 2019 (Updated 22 Dec 2022) |
Data Standards for Order Life Cycles |
| 28 Jul 2003 | Keeping of Records Rules |
| 17 Mar 2003 | Keeping of Records Rules |
|
16 Jul 2001 (updated 15 Oct 2024) |
Code of Conduct |