International Financial Services Centres Authority (Capital Market Intermediaries) Regulations, 2025

Chapter: I
PRELIMINARY
Regulation 1	:	Short title and commencement
Regulation 2	:	Objective
Regulation 3	:	Definitions
Chapter: II
REGISTRATION OF CAPITAL MARKET INTERMEDIARIES
Regulation 4	:	Obligation to seek Registration and Exemptions therefrom
Regulation 5	:	Application for registration
Regulation 6	:	Legal form of the applicant
Regulation 7	:	Net worth requirements
Regulation 8	:	Fit and proper requirements
Regulation 9	:	Appointment of Principal Officer, Compliance Officer and other human resources
Regulation 10	:	Furnishing of Information
Regulation 11	:	Registration requirements
Regulation 12	:	Grant of registration
Regulation 13	:	Period of validity
Regulation 14	:	Surrender of registrations
Chapter: III
GENERAL OBLIGATIONS AND RESPONSIBILITIES
Regulation 15	:	Code of Conduct
Regulation 16	:	Maintenance of books of account, records and other documents
Regulation 17	:	Information to the Authority
Regulation 18	:	Redress of grievances
Regulation 19	:	Dispute Resolution
Regulation 20	:	Business Continuity Plan
Regulation 21	:	Cyber Security and Cyber Resilience
Regulation 22	:	Risk Management and Internal Controls
Regulation 23	:	Change in control
Regulation 24	:	Payment of Fees
Regulation 25	:	Annual Compliance Audit
Chapter: IV
SPECIFIC OBLIGATIONS AND RESPONSIBILITIES
Regulation 26	:	Broker dealers and Clearing members
Regulation 27	:	Global Access
Regulation 28	:	Credit rating agencies
Regulation 29	:	Custodians
Regulation 30	:	Debenture trustees
Regulation 31	:	Depository Participants
Regulation 32	:	Distributors
Regulation 33	:	ESG Ratings and Data Products Providers
Regulation 34	:	Investment advisers
Regulation 35	:	Investment Bankers
Regulation 36	:	Research Entities
Chapter: V
INSPECTION
Regulation 37	:	Inspection
Regulation 38	:	Obligations of capital market intermediary on inspection
Regulation 39	:	Inspection by third parties
Regulation 40	:	Submission of report
Chapter: VI
MISCELLANEOUS
Regulation 41	:	Suspension, cancellation of registration or any other actions
Regulation 42	:	Power to call for information
Regulation 43	:	Power to remove difficulties
Regulation 44	:	Power to relax strict enforcement of the regulations
Regulation 45	:	Power to specify procedures and issue clarifications
Regulation 46	:	Delegation of powers
Regulation 47	:	Repeal and Savings
SCHEDULE
SCHEDULE I	:	Net worth requirements
SCHEDULE II	:	Code of Conduct