The Capital Markets (Corporate Governance) (Market Intermediaries) Regulations

34. Employee records

Edition: 2022-12-31 · In force

34. Employee records

A market intermediary shall keep and maintain records relating to each of its employees demonstrating that it has effectively assessed all relevant qualification, experience, fitness and propriety. In particular an employee’s records shall include:

(a)his job application with copy of documentation verifying qualifications and experience;

(b)his job description

(c)his qualifications, experience and training

(d)his remuneration;

(e)any securities transaction undertaken with details of permission received;

(f)any declaration of an existing or potential conflicts of interest made; and

(g)details of all publicly traded listed securities owned.

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Source: Kenya Law