Regulatory Alerts2026-01-01
The Securities Act with amendments to 2014
The Securities Act establishes a compensation fund for investors suffering pecuniary loss, funded by levies on member dealers and administered by recognized stock exchanges. It imposes strict disclosure obligations on dealers and investment advisers regarding conflicts of interest in communications and mandates transparency when acting as principal in transactions with non-dealers. The legislation prohibits market manipulation, false trading appearances, and short selling without proper authorization, while enforcing margin requirements and record-keeping for offshore investments.
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