Regulatory Alerts2023-02-14
Added · Updated
Regulatory Authority for Securities Regulations No. 18: Code of Professional Conduct
The Iraqi Securities Authority issued Regulatory No. 18 to establish a mandatory Code of Professional Conduct for licensed securities brokerage firms, their intermediaries, and employees. The regulation prohibits market manipulation, insider trading, and front-running while enforcing strict obligations regarding client asset protection, conflict of interest management, and anti-money laundering compliance. Violations of these ethical standards and operational rules subject the members and staff to professional and disciplinary liability.
More like this from ISC
We email you every new ISC publication the day it's published.
Topics
Share