ACTS |
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RULES | REGULATIONS | CIRCULARS | GUIDELINES
- Securities Broker (Licensing and Operations) Regulations, 2016
- PSX RULE BOOK (English Version (Updated on November 03, 2021)
- Securities (Leverage Markets and Pledging) Rules, 2011 approved by the Federal Government
- Statement of Code of Conduct and Business Practices Ethics
- Mandatory Certification for the Professionals of Capital Market – April 08, 2015
- Guidelines for Public Advertisement of Business of Securities Brokers
- Research Analyst Regulations, 2015
- Access to Inside Information Regulation 2016
- Brokers Operating through Other Brokerage Houses
- Confirmation of Clients’ Orders by TRE Certificate Holders / Brokers and Mandatory Tariff Structure
- Specimen of Risk Disclosure Document formulated under the Securities Brokers (Licensing and Operations) Regulations, 2016
- Specimen of Risk Disclosure Document formulated under the Securities Brokers (Licensing and Operations) Regulations, 2016
- Submission of ‘Customer Grievances Details’ as required under the Securities Brokers (Licensing and Operations) Regulations, 2016
- Submission of information relating to ‘Trading by Directors and Substantial Shareholders of Securities Brokers’ as required under Securities Brokers (Licensing and Operations) Regulations, 2016
- Securities and Exchange Commission of Pakistan (Anti Money Laundering and Countering Financing of Terrorism) Regulations, 2020
- Guidelines on Anti-Money Laundering, Countering Financing of Terrorism and Proliferation Financing (updated April, 2020)
- Directive - Targeted Financial Sanctions (TFS) Obligation and Reporting 2020
- Guideline for Reporting Entities for filing of Suspicious Transaction Reports
To find complete list of upto date laws, regulations, notifications, directives, circulars & guidelines, issued by SECP, click here.
For PSX related Laws, click here.
For FATF(AML/CFT/PF) related Laws, click here.
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