Regulatory Alerts2016-11-10
Lebanon Capital Markets Authority Conduct of Business Regulation – 3000 Series
The Lebanon Capital Markets Authority issued this regulation to establish comprehensive conduct rules, governance standards, and operational systems for approved securities institutions and registered persons. It mandates strict compliance with corporate governance, risk management, and anti-money laundering frameworks while requiring the effective segregation, accurate record-keeping, and transparent handling of client money and assets. The framework further enforces clear conflict-of-interest management, suitability assessments, and periodic reporting obligations to ensure fair client treatment and market integrity.
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