Regulatory Alerts2026-01-01
The Securities (Conduct of Business) Regulations 1999
The Securities Commission of Jamaica issued these regulations to establish comprehensive conduct standards for licensed dealers and investment advisers. The rules mandate strict client relationship protocols, including identity verification, risk profiling, and segregation of client assets, while requiring licensees to maintain detailed books and records for specified periods. Additionally, the regulations enforce periodic financial reporting, professional conduct standards, and inspection powers to ensure compliance and investor protection.
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