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2019-12-11

Capital Markets and Securities (Registers of Interests in Securities) Regulations

The Capital Markets and Securities Authority mandates licensed dealers, investment advisers, representatives, and financial journalists to maintain prescribed registers of their securities interests. These entities must record acquisition or disposal details in the designated schedule forms within twenty-four hours of each transaction. The regulations establish distinct disclosure templates for dealers and representatives, investment professionals, and financial journalists to ensure transparent market tracking.

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THE CAPITAL MARKETS AND SECURITIES (REGISTERS OF INTERESTS IN SECURITIES) REGULATIONS G.N. No. 415 of 1996

  1. Citation These Regulations may be cited as the Capital Markets and Securities (Registers of Interests in Securities) Regulations.
  2. Interpretation In these Regulations, unless the context requires otherwise– "Act" means the Capital Markets and Securities Act i *; "register" means a register of interests in securities required under section 51 of the Act.
  3. Form of Registers Every licensed dealer, dealers representative, investment adviser, investment representative and financial journalist shall maintain a register of securities in which he has an interest in the form prescribed in the Schedule to these Regulations.
  4. Timing of Entry on Register Particulars of the securities in which a person has an interest shall be entered in the register within twenty four hours of acquisition or disposal thereof. SCHEDULE FORM OF REGISTERS FORM APPLICABLE FOR DISCLOSURE OF INTERESTS IN SECURITIES OF DEALERS AND DEALERS REPRESENTATIVES I PURCHASES REGISTER Date Name of Seller Type and Description of Security Amount Paid Principal or Agent II SALES REGISTER Date Name of Buyer Type and Description of security Amount Paid Principal or Agent

FORM APPLICABLE FOR DISCLOSURE OF INTERESTS IN SECURITIES OF INVESTMENT ADVISERS AND REPRESENTATIVES Date Name of Client Type and Description of Security FORM APPLICABLE FOR DISCLOSURE OF INTERESTS IN SECURITIES OF FINANCIAL JOURNALISTS Date of Publication Name of Journal or Newspaper Title of Analysis Volume or Number of Publication

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