Other Rules & Regulations

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Other Rules & Regulations

Transitional Provisions:

Download Stock Exchange (Approved Investment Institution) Rules 1992

Section 159 (7) of the Securities Act 2005 provides: “Approved investment institutions in existence immediately before the commencement of this Act shall, within 3 years of the commencement of such regulations as may be prescribed, apply for authorisation as collective investment schemes according to conditions and subject to such exemptions as may be specified in FSC Rules.”

Subject to subsection (7), approved investment institutions designated under section 50A of the Stock Exchange Act shall, notwithstanding the repeal in section 157(1)(a) continue to operate subject to the conditions of the Stock Exchange (Approved Investment Institution) Rules 1992.

Download Stock Exchange (Investment Clubs) Rules 1994

Section 155 of the Securities Act states that the Commission may make rules known as FSC Rules for the registration, operation and control of the activities of investment clubs.

FSC Rules

Download Securities (Recognition of Remote Custodians) Rules 2013

Policies and Guidelines

Download SEM Equality Opportunity Policy

regulations & governance