ADVOKS GLOBAL · KENYA
The Capital Markets Authority Rules
6. Periodic reports
Edition: 2022-12-31 · In force
6. Periodic reports
(1)A securities exchange shall furnish the Authority with quarterly returns relating to—(a)the official prices for the securities enlisted thereon;(b)the number of shares delivered to the clearing facility;(c)the number of securities listed and delisted during the preceding calendar quarters;(d)a signed statement itemizing all outstanding positions beyond settlement date for each member; and(e)any other matter that may be specified by the Authority.(2)A securities exchange shall furnish the Authority at least quarterly, with a report of all securities transfers for each day, including each private transaction which has been effected through its members, along with their values, and in the case of private transactions, the names of the transferor and the transferee.(3)A securities exchange shall furnish the Authority with quarterly report on the financial standing of each member, broker and dealer within four weeks of the close of each quarter and the report shall include the position of margin accounts and net capital provisions as prescribed by the Authority, with respect to each member.