Securities Markets Regulations, 2015 · s 42

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s 42

The holder of a representative~ s licence must satisfy the following

{a)

remain fit and proper at all times as required by the Order and these Regulations;

{b)

comply with the Order, these Regulations, any guidelines and any written laws that may govern the business activities conducted;

{c)

does not allow any unlicensed person to perform any licensed regulated activities on his behalf;

{d)

ensure that licensed regulated activity is conducted efficiently, honestly and fairly; and

{e)

return his representative's licence to the Authority if it is cancelled upon variation, revoked or if he ceases to conduct licensed regulated activities.

Know your clienfs requirements.