The Karachi Stock Exchange (Guarantee) Limited’s awareness presentation by SECP regarding brokers inspection regime

Karachi, July 18, 2012 (PPI-OT): Members are hereby informed that the Securities and Exchange Commission of Pakistan SECP] has arranged a presentation for members on the subject. The objective of this presentation is to create awareness about compliance with the key regulatory provisions of the applicable Securities Laws by the Brokers of the Exchange.

The said presentation would cover the purpose, its scope and nature of inspection of Brokers being conducted by the SECP. Further, the major non-compliances observed during recent on-site inspections of the Brokerage Houses would also be discussed.

The presentation session has been scheduled for Friday July 20, 2012 at 4:30 P.M. at KSE Auditorium (3rd Floor Admin Block), followed by light refreshments.

All Members along with their respective compliance officer/ relevant staff are invited to attend the session.

For more information, Contact:
Karachi Stock Exchange
Tel: (92-21) 111-001122
Fax: (92-21) 3241 0825, (92-21) 3241 5136