The Capital Markets (Conduct of Business) (Market Intermediaries) Regulations

38. Imposition of additional requirements by securities exchange or self regulating organizations

Edition: 2022-12-31 · In force

38. Imposition of additional requirements by securities exchange or self regulating organizations

(1)A securities exchange or other self regulatory organization may impose additional obligations or requirements that it considers necessary on market intermediaries that are members of the exchange or the self regulatory organization.

(2)Notwithstanding the generality of paragraph (1), a securities exchange or self regulatory organization may impose additional obligations or requirements relating to—

(a)the keeping of accounts, books and records;

(b)periodic financial reporting to the securities exchange or self regulatory organization in the form and manner required by the securities exchange or self regulatory organization;

(c)the audit of accounts;

(d)the information to be given in audit reports; or

(e)spot order checks.

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Source: Kenya Law