ADVOKS GLOBAL · KENYA
The Capital Markets (Licensing Requirements) (General) Regulations
53. Key personnel of full and associate members
Edition: 2023-10-06 · In force
53. Key personnel of full and associate members
(1)All trading participants of a securities exchange shall register with the Authority all key personnel annually including any changes thereto.(2)For the purposes of this regulation “key personnel” includes employees and directors of a trading participant who have direct dealings with clients and carry on trading activities on behalf of clients.