Regulatory Alerts2017-09-08
Added · Updated
SRO 903 (I)/2017 Amendment to the Securities Brokers (Licensing and Operations) Regulations, 2016
The Securities and Exchange Commission of Pakistan proposes amendments to Regulation 35(5) of the Securities Brokers (Licensing and Operations) Regulations, 2016. The changes substitute specific wording regarding auditor opinions, review period systems and controls, and the establishment of an efficient compliance function. Objections or suggestions regarding these draft amendments must be submitted to the Commission within fourteen days of the draft's placement on the Commission's website.
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