Legislation and guidance for licenceholders
Legislation and guidance for licenceholders
The following links will take you to the legislation and guidance that is relevant to all licenceholders
Key documents may be found in the following handbooks, which are produced to assist licenceholders to understand and meet regulatory requirements:
- Class 1 - Deposit taking handbook
- Class 2 - Investment Business handbook
- Class 3 - Services to Collective Investment Schemes handbook
- Class 4 - Corporate Services handbook
- Class 5 - Trust Services handbook
- Class 6 - e-money handbook
- Class 7 - Management or Administration Services handbook
- Class 8 - Money Transmission Services handbook
Key documents contained in the handbooks are:
Current Legislation
- Financial Services Act 2008
- Regulated Activities Order 2011
- Financial Services (Exemptions) Regulations 2011
- Financial Services (Civil Penalties) Regulations 2011
- Financial Services (Register of Permitted Persons) Regulations 2011
- Financial Services (Appointment of a Manager) Order 2008
- Financial Services Rule Book 2011
- Collective Investment Schemes Act 2008
- Collective Investment Schemes (Definition) Order 2008
Policy Statements
Guidance
- Anti Money Laundering Handbook
- The responsibilities and duties of directors under the laws of the Isle of Man
- Outsourcing/Delegation of Functions
- Rule Book guidance
- Advertising, Distribution and Promotion of Financial Products or Services Guidance
- Sales of Higher Risk Investments to Retail Investors
Compendium of legislation and guidance
Official versions of legislation contained on our web-site can be obtained from http://www.legislation.gov.im/cms/
