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Inspections and Compliance Training Programme
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Home
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Registered Companies, Individuals
Manual Registration and Renewal
Checklists for Registration and Renewal of Registration
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Filings
Material Change
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Back
MMRF Forms
CBTT
SRO
Back
Legal Framework
By-Laws
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Decisions / Settlements
Guidelines
Legislation
Notices
Notices of Hearing
Orders
Proposed By-Laws
Proposed Guidelines
Proposed Legislation
Rules
Draft Policies
CIS Bye-Laws
Procurement
Back
AML-CFT
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
Published Articles
Circular Letters
COVID-19
Market Newsletter
Securities Market Bulletin
Weekly Bulletin
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Reports
Guidance
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Approved Designated Foreign Jurisdictions
FOIA Statement
Research
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