Regulatory Alerts2025-02-11
Directive on Submission of Electronic Directors and Principal Officer Personal Notes (e-DPN) via the Regulatory Compliance Portal
The Securities and Exchange Commission (SEC) directs all Capital Market Operators to ensure their Directors and Principal Officers complete and submit electronic personal notes (e-DPN) through the Regulatory Compliance Portal. This submission must be finalized by 30 April 2025 to maintain an accurate regulatory database for market oversight and compliance monitoring. Failure to comply will trigger enforcement actions under Section 209 of the Securities Industry Act, and the directive takes immediate effect pending any future amendments.
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