Circular to All Dealing Member Firms

Category: Regulators


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Circular to All Dealing Member Firms

30th November, 2011

 

GUIDELINES FOR IMPLEMENTING ARTICLE 165 OF THE RULES AND REGULATIONS GOVERNING DEALING MEMBERS

 

KNOW YOUR EMPLOYEES

The attached guidelines for the implementation of Article 165 of the Rules and Regulations Governing Dealing Members have been approved as the minimum standards required of Dealing Member firms.

Consequently, all employee records must be updated to reflect the stated requirements. Dealing Member Firms should also ensure strict adherence to the above going forward.

Thank you.



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