ADVOKS GLOBAL · KENYA
The Capital Markets (Licensing Requirements)(General) Regulations, 2025
15. Reporting obligations.
Edition: 2025-12-11 · In force
15. Reporting obligations.
(1)Each investment adviser shall submit to the Authority—(a)a monthly risk-based capital adequacy report and management accounts within fifteen days of the end of each month; and(b)audited financial statements and audited risk-based capital adequacy reports within three months following the end of its financial year.(2)The financial statements submitted under subregulation (1) shall comply with the disclosures prescribed under the Fourth Schedule of these Regulations.(3)The Authority may require such other form of financial statements and information from the investment advisor as it may, by notice in writing, specify.