Section 34 of the Monetary Authority Act authorizes the Authority to issue or amend Rules, Statements of Guidance, and Statements of Principle. Additionally, Section 48 allows for the creation of a Regulatory Handbook, which contains the policies and procedures for the Authority's regulatory and cooperative functions.

Below is a list of measures, including a checklist for Rules, Statements of Guidance, Regulatory Policies, Regulatory Procedures, and Forms relevant to the Securities sector.

Rules

A clear and precise directive issued to licensees on essential topics for the prudent supervision of regulated entities. These directives create binding obligations for all licensees, and failure to comply may result in fines or regulatory actions by the Authority under the regulatory acts.

Statement of Guidance ("SOG")

Guidance intended to assist licensees in complying with relevant acts, regulations, rules, and statements of principles, or to describe standards for business conduct. This guidance offers recommendations on how licensees should operate and serves as a benchmark for the Authority to assess compliance.

Regulatory Policy

A set of principles, criteria, or approaches that guide the Authority's decisions and actions in carrying out its regulatory and cooperative functions.

Regulatory Procedure

A series of actions, activities, or tasks that the Authority undertakes in fulfilling its regulatory and cooperative responsibilities.

Note: Items marked with NEW have been recently added or updated.