ADVOKS GLOBAL · KENYA
The Capital Markets (Licensing Requirements) (General) Regulations
50. Report of dealing transactions
Edition: 2023-10-06 · In force
50. Report of dealing transactions
(1)Every authorised securities dealer shall, in respect of all its transactions in securities, whether or not such securities are traded on an approved exchange, submit to the Authority—(a)monthly reports and accounts within fifteen days of the end of each calendar month;(b)quarterly reports and accounts within fifteen days of the end of each calendar quarter;(c)half yearly reports and accounts within thirty days of the end of each year;(d)audited annual accounts within three months following the end of the authorized securities dealer financial year; and(e)a financial statement complying with the disclosures prescribed under the Fourth Schedule of these Regulations.(2)The Authority may require such other form of financial statement as it may from time to time specify.(3)The reports referred to in paragraph (1) shall include particulars on the—(b)total value of securities traded in terms of sales and purchases during the relevant period; and(c)average yield of the total value of securities traded during the relevant period.