SECURITIES AND EXCHANGE COMMISSION REGULATIONS, 2003 (L.I. 1728)
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    • Regulation 1 - Application Regulation 2 - General penalty Regulation 3 - Qualifications of directors and executive officers Regulation 4 - Chief executive officer Regulation 5 - Chief executive officer of a broker-dealer or investment adviser Regulation 6 - Chief executive officer of a share transfer agent Regulation 7 - Chief executive officer of a trustee of a collective investment scheme Regulation 8 - Chief executive officer of a custodian for securities Regulation 9 - Chief executive officer of a central securities depository Regulation 10 - Chief executive officer of registrar of public issue of securities Regulation 11 - Chief executive officer of an underwriter Regulation 12 - Chief executive of an issuing house Regulation 13 - Representative licences Regulation 14 - Capital requirements Regulation 15 - Licence, approval fees, annual fees and deposits Regulation 16 - Application for approval of a stock exchange Regulation 17 - Application for a dealer, investment adviser or representative licence Regulation 18 - Notification of changes in particulars Regulation 19 - Penalty Regulation 20 - Maintenance of a register of interests Regulation 21 - Notification of the appointment and removal of an auditor of a dealer Regulation 22 - Liquidity requirements of broker-dealers and investment advisers Regulation 23 - Obligation to monitor liquidity Regulation 24 - Deposits from clients Regulation 25 - Internal control and compliance Regulation 26 - Maintenance of a complaints register Regulation 27 - Trading in securities by employees and agents of a broker-dealer Regulation 28 - Penalty Regulation 29 - Financial year Regulation 30 - Annual returns to be submitted by the Stock Exchange Regulation 31 - Submission of quarterly returns by stock exchange Regulation 32 - Submission of trading day report by stock exchange Regulation 33 - Reports and returns to be submitted by dealers and investment advisers Regulation 34 - Obligation to submit report to clients Regulation 35 - Penalty Regulation 36 - Appeal from rejection of an application for membership Regulation 37 - Appeal from a rejection to list securities Regulation 38 - Appeal against the delisting of securities Regulation 39 - Applicability Regulation 40 - General principles Regulation 41 - Prohibitions Regulation 42 - Cautionary statements Regulation 43 - Content of advertisement Regulation 44 - Penalty Regulation 45 - Imposition of a transaction levy Regulation 46 - Collection of the levy Regulation 47 - Transaction levy account Regulation 48 - Administration, audit and investment of the transaction levy account Regulation 49 - Disbursements from the transaction levy account Regulation 50 - Application of the Companies Code, 1963 (Act 179) Regulation 51 - Invitations to the public Regulation 52 - Supplementary prospectus or supplementary offer document Regulation 53 - Power of the Commission to extend, reopen or cancel the offer Regulation 54 - Annual reports Regulation 55 - Quarterly financial statements on corporate securities Regulation 56 - Contents of quarterly financial statements Regulation 57 - Sworn statement Regulation 58 - Review of financial statements Regulation 59 - Investigation of accounting matters by the Commission Regulation 60 - Obligation to disclose information Regulation 61 - Audit sub-committee Regulation 62 - Penalty Regulation 63 - Interpretation
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    Regulation 1 - Application Regulation 2 - General penalty Regulation 3 - Qualifications of directors and executive officers Regulation 4 - Chief executive officer Regulation 5 - Chief executive officer of a broker-dealer or investment adviser Regulation 6 - Chief executive officer of a share transfer agent Regulation 7 - Chief executive officer of a trustee of a collective investment scheme Regulation 8 - Chief executive officer of a custodian for securities Regulation 9 - Chief executive officer of a central securities depository Regulation 10 - Chief executive officer of registrar of public issue of securities Regulation 11 - Chief executive officer of an underwriter Regulation 12 - Chief executive of an issuing house Regulation 13 - Representative licences Regulation 14 - Capital requirements Regulation 15 - Licence, approval fees, annual fees and deposits Regulation 16 - Application for approval of a stock exchange Regulation 17 - Application for a dealer, investment adviser or representative licence Regulation 18 - Notification of changes in particulars Regulation 19 - Penalty Regulation 20 - Maintenance of a register of interests Regulation 21 - Notification of the appointment and removal of an auditor of a dealer Regulation 22 - Liquidity requirements of broker-dealers and investment advisers Regulation 23 - Obligation to monitor liquidity Regulation 24 - Deposits from clients Regulation 25 - Internal control and compliance Regulation 26 - Maintenance of a complaints register Regulation 27 - Trading in securities by employees and agents of a broker-dealer Regulation 28 - Penalty Regulation 29 - Financial year Regulation 30 - Annual returns to be submitted by the Stock Exchange Regulation 31 - Submission of quarterly returns by stock exchange Regulation 32 - Submission of trading day report by stock exchange Regulation 33 - Reports and returns to be submitted by dealers and investment advisers Regulation 34 - Obligation to submit report to clients Regulation 35 - Penalty Regulation 36 - Appeal from rejection of an application for membership Regulation 37 - Appeal from a rejection to list securities Regulation 38 - Appeal against the delisting of securities Regulation 39 - Applicability Regulation 40 - General principles Regulation 41 - Prohibitions Regulation 42 - Cautionary statements Regulation 43 - Content of advertisement Regulation 44 - Penalty Regulation 45 - Imposition of a transaction levy Regulation 46 - Collection of the levy Regulation 47 - Transaction levy account Regulation 48 - Administration, audit and investment of the transaction levy account Regulation 49 - Disbursements from the transaction levy account Regulation 50 - Application of the Companies Code, 1963 (Act 179) Regulation 51 - Invitations to the public Regulation 52 - Supplementary prospectus or supplementary offer document Regulation 53 - Power of the Commission to extend, reopen or cancel the offer Regulation 54 - Annual reports Regulation 55 - Quarterly financial statements on corporate securities Regulation 56 - Contents of quarterly financial statements Regulation 57 - Sworn statement Regulation 58 - Review of financial statements Regulation 59 - Investigation of accounting matters by the Commission Regulation 60 - Obligation to disclose information Regulation 61 - Audit sub-committee Regulation 62 - Penalty Regulation 63 - Interpretation