Regulation 26 - Broker dealers and Clearing members
International Financial Services Centres Authority (Capital Market Intermediaries) Regulations, 2025 Chapter IV SPECIFIC OBLIGATIONS AND RESPONSIBILITIES
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Regulatory compliance for broker dealers and clearing members requires adherence to applicable laws and exchange or clearing rules. A broker dealer must ensure regulatory compliance with applicable laws and with the bye laws, rules and regulations specified by the recognised stock ... Summary
Regulatory compliance for broker dealers and clearing members requires adherence to applicable laws and exchange or clearing rules.
A broker dealer must ensure regulatory compliance with applicable laws and with the bye laws, rules and regulations specified by the recognised stock exchange, and a clearing member must ensure regulatory compliance with applicable laws and with the bye laws, rules and regulations specified by the recognised clearing corporation.
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