Investments


The Authority supervises investment firms from a conduct perspective. More specifically the Authority looks at the way these regulated entities provide a particular investment service including the manner in which investment advice is provided to its clients and the compliance of these entities with the applicable legal requirements and rules as defined under the Conduct of Business Rulebook. As part of its supervisory work in this area the Authority conducts on-site inspections at the premises of regulated entities and off-site work including but not limited to thematic / desk-based reviews, monitoring of financial promotions and the collection/analysis of conduct related data, such as complaints data and a list of financial instruments in respect of which these regulated entities have provided an investment service.