Regulatory Alerts2001-01-01
Capital Markets Conflict of Interest Guidelines 2001
Issued by the Capital Markets Authority of Uganda on 30 May 2001, these guidelines establish mandatory conduct standards for all Board and staff members to prevent actual or perceived conflicts of interest. The framework requires personnel to disclose directorships, professional relationships, and securities accounts while restricting insider trading and mandating broker reporting for all transactions. Compliance is enforced through internal reporting to the Board Secretary and Chief Executive Officer, with disciplinary measures ranging from warnings to dismissal for defaults or insider dealing violations.
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