Corporate Laws

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Compliance for Stock Exchange Broker 2/2

  Compliance for Stock Exchange Broker 1/2 Compliance for Stock Exchange Broker Continued Part of Regulatory Compliance applicable for Stock Exchange Broker as follows.   Compliance on Leveraged Trading The Broker must ensure that no transaction is executed in the leveraged market unless an appropriate agreement has been executed and; The Broker has; Fully disclosed all the risks involved in the relevant transactions. Explained all the options to the client in respect of various financing facilities. Evaluated credit worthiness of the client. Maintained adequate records of agreement, disclosure of risks and explanation of available options.   Compliance on Trading by employees Broker must ensure that it has given...

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  Rules 5.6.1 of Pakistan Stock Exchange (PSX) requires each listed company to give notice to SECP and PSX for all price sensitive information.   Every Listed Company shall immediately inform to the Commission (SECP) and the Exchange (PSX) all price-sensitive information relating to the business and other affairs of the listed company that may affect the share price of the company in the manner prescribed by the Exchange from time to time. When to share The said information needs to be communicated to the Exchange before it is intimated to any other person or it is printed in newspaper or shown in electronic media. What...

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