Regulatory Alerts2019-12-11
Capital Markets and Securities (Conduct of Business) Regulations
The Capital Markets and Securities Authority has issued comprehensive conduct of business regulations that establish mandatory operational standards for licensed securities entities. These rules require licensees to maintain independence, disclose material interests and inducements, ensure the suitability of advice, and apply fair charges while safeguarding customer investments. Furthermore, the regulations mandate written agreements for discretionary services, enforce robust internal compliance and supervision procedures, and guarantee prompt complaint resolution alongside strict customer confidentiality.
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