Regulated Firms
Information for Regulated Firms
This section provides information and resources for firms that are regulated by the Securities Exchange and Investment Protection Commission (SEIPC). Here you will find guidance on regulatory requirements, reporting obligations, and other important information.
Regulatory Updates
New Reporting Requirements for Investment Firms
Effective from 1 July 2023, all investment firms must submit quarterly reports on their capital adequacy.
Read moreConsultation on Proposed Changes to AML Regulations
The SEIPC is seeking feedback on proposed changes to the Anti-Money Laundering regulations.
Read moreAnnual Fees Due by 31 March
Reminder: Annual regulatory fees for all regulated firms are due by 31 March 2023.
Read moreThematic Reviews
The SEIPC conducts thematic reviews to assess compliance with specific regulatory requirements across different sectors. Recent and upcoming thematic reviews include:
- Cybersecurity Risk Management (Q2 2023)
- Client Asset Protection (Q3 2023)
- Corporate Governance Practices (Q4 2023)
- Anti-Money Laundering Controls (Q1 2024)
Important Notices
System Maintenance
The regulatory reporting system will be unavailable on Saturday, 15 April from 10:00 to 14:00 due to scheduled maintenance.
Deadline Extension
The deadline for submitting the Annual Compliance Report has been extended to 30 April 2023.
Regulatory Resources
Contact Us
If you have any questions or need assistance, please contact our Supervision Team.
Email: supervision@seipc.org
Phone: +123 456 7891
Hours: Monday to Friday, 9am to 5pm