INVESTMENT BUSINESS

Guidance Notes

Guidance Note: Suitability of Advice (118k)

Guidance Note: Professional Qualifications (Investment Business) (128k)

Guidance on Auditing Persons Conducting Financial Services Business

Span of Control

Treatment of Insurance Companies

Forward Foreign Exchange Transactions

Guidance on the Commission's use of Enforcement Powers (123k)

Policy Statement on the Commission's use of Public Statements (78k)

Guidance on the Commission's Decision-Making Process (76k)

Guidance Note for the Submission of Employee Information (128k)