ADVOKS GLOBAL · KENYA
The Capital Markets (Licensing Requirements) (General) Regulations
10. Records to be maintained
Edition: 2023-10-06 · In force
10. Records to be maintained
Every securities exchange shall for a period of seven years maintain and preserve the following records and documents, for a period of seven years—(a)minutes of the meeting of—(ii)its board of directors; and(iii)any standing committee or committees of its board of directors;(b)a register of trading participant members including the full names and physical addresses of all directors and shareholders of such trading participants;(c)a register of representatives, authorized clerks, dealers, authorized assistants and floor traders;(d)a record of securities transactions by sectors for each market segment;(e)a statistical information on market turnover and capitalization on a monthly basis for each market segment;(f)a register of—(i)all listed securities including the names of issuers and number of securities listed by each issuer;(ii)all substantial shareholders;(iii)holders of notifiable interest under regulation 75;(g)records of receipts and disbursement of the investors compensation fund;(h)annual audited accounts of its trading participants;(i)annual reports of all listed companies;(j)records containing any trading limits, margin requirements or related financial and operational limits it imposes on its trading participants on a monthly basis;(k)financial records of all transactions of the securities exchange including receipts and payouts, cash and bank transactions which shall also be maintained in an electronic form including—(iii)bank statements and reconciliation accounts.