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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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Professional Investors
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| Issue Date | Publication |
|---|---|
| 23 Sep 2016 | Code of Conduct |
|
22 Jan 2015 (updated 8 Sep 2020) |
Professional Investors |
| 30 Sep 2010 | Code of Conduct |
|
16 Jul 2001 (updated 12 May 2015) |
Code of Conduct |
| Issue Date | Publication |
|---|---|
| Oct 2012 | Report on the Thematic Inspection of Selling Practices of Licensed Corporations |