Regulatory Alerts2017-04-01
Added · Updated
Regulation on Capital Markets Principles 2012
The Capital Market Authority of Rwanda issued Regulation No. 05 of 2012 to establish binding principles governing the conduct of all licensed and approved capital market practitioners. The regulation mandates that firms adhere to standards of integrity, due skill, and diligence while maintaining adequate financial resources, risk management systems, and client asset protection. It further assigns specific compliance responsibilities to directors and senior management, requiring clear allocation of duties and open cooperation with the regulatory authority.
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