International Financial Services Centres Authority (Capital Market Intermediaries) Regulations, 2025 Chapter III GENERAL OBLIGATIONS AND RESPONSIBILITIES
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Annual compliance audit requires capital market intermediaries to obtain qualified audits and file annual reports with the authority. A Capital Market Intermediary must commission an annual compliance audit by a qualified auditor (specified domestic professionals or an authorised foreign ... Summary
Annual compliance audit requires capital market intermediaries to obtain qualified audits and file annual reports with the authority.
A Capital Market Intermediary must commission an annual compliance audit by a qualified auditor (specified domestic professionals or an authorised foreign auditor) and furnish the compliance audit report for each financial year to the Authority by the annual filing deadline; trading members, clearing members and depository participants must also file the report with their recognised exchange, clearing corporation or depository. The Authority may specify additional audits and reports as required.
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