Policies and Guidelines

As of January 1, 2023 and amended April 1, 2024

Download Investment Dealer Assessment Policy

As of January 1, 2023 and amended June 11, 2024

Download Mutual Fund Dealer Assessment Policy

As of January 1, 2023 and amended April 1, 2024

Download Investment Dealer Assessment Appeal Procedures

As of January 1, 2023 and amended August 25, 2023

Download Mutual Fund Dealer Assessment Appeal Procedures

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