Policy Statements & Guidance Notes
POLICY STATEMENTS AND GUIDANCE NOTES
The documents on this page are subdivided into two sections, "General Application" and "Sector Specific", please scroll down the page to view "Sector Specific" documents. Additionally, Frequently Asked Questions relating to the Commission’s Personal Questionnaire process can be found by clicking here.
Policy Statements (PS) - record the Commission’s policies in respect of certain aspects of legislation or regulatory approach.
The following Policy Statements and Guidance Notes have general application and are of interest to all persons.
Specific to Investment Business