Compliance and Risk Management Rulebook
This version shall take effect on 19 June 2025. To review the previous version, please click here.
| This version shall take effect on 19 June 2025. To review the previous version, please click here. |
- Introduction
- Part I – Compliance Management
- Part II – Tax Reporting and Compliance
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Part III – Anti-Money Laundering and Combating the Financing of Terrorism
- Introduction
- A. Appointment and Duties of Money Laundering Reporting Officer
- B. Policies and Procedures
- C. AML/CFT Controls
- D. Risk Assessments
- E. Client Due Diligence
- F. Suspicious Transaction Monitoring and Reporting
- G. FATF Travel Rule
- H. Compliance with targeted financial sanctions
- I. Record keeping
- J. Enforcement
- Part IV – Client Money Rules
- Part V – Client Virtual Assets Rules
- Part VI – Anti-Bribery and Corruption
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Part VII – Sponsored VASPs
- A. Interpretation
- B. Requirement to Obtain Prior Approval
- C. Application Process
- D. Establishing a Sponsored VASP Relationship
- E. Regulatory Status, Marketing and Disclosures
- F. Compliance Responsibility
- G. Responsible Officer
- H. Capital and Prudential Requirements
- I. Accounts
- J. Complaints Handling Requirements
- K. Governance and Reporting Responsibilities
- Schedule 1 – Definitions