The Capital Markets (Licensing Requirements)(General) Regulations, 2025

33. Reporting obligations

Edition: 2025-12-11 · In force

(1)A dealer shall submit to the Authority and to the securities exchange of which they are trading participants—

(a)monthly risk-based capital adequacy reports 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 in subregulation (1) should 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 as it may from time to time specify.