Regulatory Alerts2017-06-12
Added · Updated
CMA ICIFA Joint Industry Guide
The Capital Markets Authority and the Institute of Certified Investment and Financial Analysts have mandated the Securities Investment Certification Program for client-facing employees of licensed firms, with a compliance deadline of August 21, 2017 for Stage Two. Under the Investment and Financial Analysts Act, 2015, all practitioners must be registered with the Institute and hold a valid practicing certificate to provide professional investment advice. Professional firms and individuals performing investment and financial consultancy must ensure that personnel undertaking such activities are officially registered and licensed accordingly.
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