Regulatory Alerts2009-01-01
Circular No. 47 of 2009 on Employee Trading Controls in Securities and Portfolio Management Firms
The Financial Regulatory Authority issued Circular No. 47 of 2009 to activate regulatory controls governing employee dealings within securities brokerage and portfolio management firms. The directive mandates standardized compliance procedures, including trade reporting and conflict-of-interest safeguards, for all staff members. These measures standardize internal trading practices to enhance market transparency and operational discipline across licensed financial entities.
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