Regulatory Alerts2021-11-11
Added · Updated
Standard GEN.S.10.14 – Information from List Applicants
NAMFISA has issued Standard GEN.S.10.14 to mandate the submission of specific registration data, including names, contact details, authorized financial services, compliance confirmations, and applicable fees, by list applicants for individuals, companies, and representatives. The standard requires these entities to maintain ongoing codes of conduct and operational systems while obligating list applicants, exchanges, and managers to promptly update registration lists upon additions or deletions. Furthermore, NAMFISA and relevant exchanges retain the authority to request additional information at any time and require all submissions to be filed electronically through a designated system.
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