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Exchanges - Dear CEO Letters

2013 Systems of Controls to prevent financial crime
With the bringing into effect of the Crimes Act 2011 a number of new and revised financial crimes were introduced into the statute books. This letter aims to provide regulated firms with guidance on our expectations of the systems of control that we expect to see in regulated firms in this respect.

Exchanges - Forms and Returns

Individual Questionnaire
Body Corporate Questionnaire
Annual Complaints Form
Stock Exchange - Statement of Compliance
Stock Exchange Supervisory Return

Exchanges - Guidance Notes

Anti Money Laundering and Counter Terrorism Financing Guidance Notes

Exchanges - Legislation

ACT 47 1989 Financial Services (Investment and Fiduciary Services) Act
LN 85 1991 Financial Services (Licensing) Regulations, 1991
LN 27 2001 Financial Services (Listing of Securities)(Amendment) Regulations 2011
LN 28 2001 Official Listing (Amendment) Rules 2011
ACT 44 2005 Market Abuse Act, 2005
ACT 46 2005 Prospectuses Act, 2005
ACT 31 2006 Financial Services (Take Over Bids) Act, 2006
ACT 43 2006 Financial Services (Listing of Securities) Act, 2006
LN 10 2007 Financial Services (Investment Exchange)(Rules and Notification) Regulations 2007
LN 14 2007 Financial Services (Listing of Securities) Official Listing Rules 2007
Act 1 2010 Counter Terrorism Act
ACT 2 2010 Financial Services (Investment and Fiduciary Services) (Temporary Administration Of Companies) Act 2010
LN 57 2010 Market Abuse (Amendment) Regulations 2010
LN 71 2010 Financial Services (Fees) Regulations 2011
LN 82 2010 Financial Services (Investment and Fiduciary Services)(Amendment) Regulations 2010
LN 163 2012 Prospectuses Act, 2005
LN 47 2012 Financial Services (Fees)(Amendment) Regulations 2012
LN 72 2012 Financial Services (Fees)(Amendment)(No.2) Regulations 2012
LN 76 2012 Financial Services Commission (Supervisory Acts) Order 2012
ACT 22 2013 Financial Services (Information Gathering and Co-operation) Act 2013
Act 14 2015 Proceeds of Crime Act 2015
LN 71 2016 Financial Services Commission (Fees) Regulations 2016

Exchanges - Newsletters

FSC 1 2002 Fitness and Propriety
FSC 3 2012 Annual Fees Update 2012
2 2013 Frequency of Director's Board meetings held for Regulated Firms
FSC 5 2013 Financial Services (Information Gathering and Co-operation) Act
FSC 8 2013 Country Risk Update
FSC 2 2015 Country Risk Update
FSC 2 2015 Country Risk Update
FSC 1 2016 Country Risk Update 01/16
Improving Global AML/CFT Compliance: on-going process.
FSC 2 2016 Country Risk Update 02/16
Improving Global AML/CFT Compliance: on-going process.
FSC 3 2016 Country Risk Update 03/16
Improving Global AML/CFT Compliance: on-going process.
FSC 4 2016 Country Risk Update 04/16
Improving Global AML/CFT Compliance: on-going process
GFSC 1 2017 Country Risk Updates 01/17