Regulatory Alerts2022-01-01
Consultation Paper on Proposed Market Conduct Guidelines for Securities Dealers
The Financial Services Commission of Jamaica proposes new market conduct guidelines to strengthen regulatory standards for securities dealers and enhance financial inclusion. The document mandates strict requirements for governance, conflict of interest management, client asset segregation, and suitability assessments to ensure fair dealing and integrity. It further establishes detailed protocols for confidentiality, complaint handling, marketing communications, and mandatory reporting of disciplinary actions or operational changes to the regulator.
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