CmaBylaw
Executive Bylaws
1-42-3 Of Module Five: Securities Activities and Registered Persons
Section: Chapter One: Securities Activities
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Sunday, 05 February 2017
In addition to the licensing regulations set out in this Module and Module Six (Policies & Procedures of Licensed Persons), and in light of what was stated in article (1-42-2), whoever is seeking to practice the position of a qualified securities broker registered in the exchange shall provide the Authority with the following: 1. The internal policies which is followed to ensure the ability of a qualified securities broker registered in the exchange to perform his duties. 2. The IT systems used to ensure the ability of a qualified securities broker registered in the exchange to perform his duties.3. Any other activities which the Authority may specify.
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