ADVOKS GLOBAL · KENYA
The Capital Markets (Licensing Requirements) (General) Regulations
26. Code of conduct to be approved
Edition: 2023-10-06 · In force
26. Code of conduct to be approved
(1)Any proposed code of conduct or agreements to self-regulate the operations of stockbrokers and dealers, shall be submitted to the Authority for prior approval and must be consistent with these Regulations.(2)No code of conduct of any associations or agreements of stockbrokers or dealers whether in written form or not shall seek to restrict free negotiation or competition by trading participants with regard to commissions payable on any transactions as provided in the Fifth Schedule.