Regulatory Alerts2022-08-09
Circular to Market Operators on Compliance with Securities Industry Advertisement Provisions
The Securities and Exchange Commission (SEC) has issued a circular directing all market operators to strictly comply with established legal provisions regulating advertisements within the securities industry. The directive specifically mandates adherence to Sections 144, 149, 150, and 151 of the Securities Industry Act 2016, Regulations 39 through 43 of the 2003 SEC Regulations, and Section 29 of the Conduct of Business Guidelines. Market operators may access the complete regulatory text and an annexed summary via the SEC website or by contacting the commission’s designated support lines for clarification.
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