Regulatory Alerts2017-01-19
Securities Business Licensing and Registration Regulation
The Capital Markets Authority of Lebanon issues this regulation to establish a comprehensive licensing and registration framework for securities business. It mandates approved institutions to fulfill specific obligations when trading as principals or for clients, while defining required capital levels and exempt activities. The framework further delineates registered functions, outlines application procedures for institutional and individual approvals, and sets out enforcement mechanisms to ensure market integrity.
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