Regulatory Alerts2015-05-04
Added · Updated
Financial Services (Establishment and Operations of Brokers and Dealers) Directive, 2015
The Registrar of Financial Institutions issued the Financial Services (Establishment and Operations of Brokers and Dealers) Directive, 2015 under the Financial Services Act, 2010. This directive establishes comprehensive licensing requirements, business conduct codes, and capital standards for brokers and dealers. It also revokes the Securities (Clearing and Settlement) Directive, 2011 to consolidate regulatory oversight.
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