Regulatory Alerts2017-03-10
Added · Updated
Communiqué on Principles Regarding Licensing and Recordkeeping for Those Engaged in Capital Market Activities
The Capital Markets Board of Turkey issued Communiqué VII-128.7 to establish the procedures and principles for licensing and recordkeeping personnel in capital market institutions and publicly held corporations. The regulation defines seven specific license types, mandates that employees hold relevant licenses obtained through examinations or qualifying experience, and sets educational and examination requirements administered by the Capital Markets Licensing Registry and Training Agency. It further details examination subjects, scoring criteria, validity periods, and disciplinary measures for candidates who violate examination rules.
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