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

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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