Regulatory Alerts2007-01-01
The Collective Investment Schemes (Conduct of Business and Miscellaneous Provisions) Regulations, 2007
The Capital Markets Authority of Uganda issued these regulations to govern the conduct of business and miscellaneous provisions for Collective Investment Schemes (CIS) in Uganda. They establish comprehensive standards for CIS operators, trustees, and depositaries, covering areas such as advertising, dealing, managing, advising, handling customer money, anti-money laundering, and managing conflicts of interest. The regulations also detail requirements for compliance procedures, record-keeping, reporting transactions, handling customer complaints, and outline the Authority's powers for access, inspections, and notifications regarding clearance events.
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