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Inspections and Compliance Training Programme
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SRO
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Legal Framework
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Orders
Proposed By-Laws
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Proposed Legislation
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CIS Bye-Laws
Procurement
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AML-CFT
Beneficial Ownership
Checklist for the approval of Compliance Officers
Fit & Proper Criteria for Approval of Compliance Officers
AML-CFT FAQs
Compliance Officer Application Form
Public Statements
AML-CFT Updates
Draft Policies
Back
Investor Protection
Complaints Procedure
Complaints Online Form
Brochure – How to Complain
Fraud Awareness
Glossary of Terms
Investor Alerts
Back
Publications and Research
Annual Reports
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Circular Letters
COVID-19
Market Newsletter
Securities Market Bulletin
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FOIA Statement
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