Online Foreign Exchange Trading Regulations

by Editor | Sep 19, 2021 | Capital Markets Authority

Online Foreign Exchange Trading Introduction The regulation covers entities that intend to operate an online trading platform as dealing or non-dealing broker and money managers. An entity interested in operating in the mentioned fields will make an application...

Collective Investment Schemes Regulation

by Editor | Sep 11, 2021 | Capital Markets Authority

Collective Investment Schemes Introduction The regulations address the types and regulatory requirements to register and operate a Collective Investment Scheme (CIS) in Kenya. To register a CIS, the promoters must secure consent from the CMA before formal...

Corporate Governance (Market Inter) Regulations

by Editor | Sep 11, 2021 | Capital Markets Authority

The regulations provide for the bare minimum requirements for the operations and organizational requirements of the market intermediaries. Compliance with these regulations eases the relationship between the market intermediary and the regulator (CMA), not to mention...

Conduct of Business (Market Inter) Regulations

by Editor | Sep 11, 2021 | Capital Markets Authority

Conduct of Business regulations make it an obligation for market intermediaries to factor principles of best practice when proffering their services or engaging in practices pertaining to market intermediaries. There is more emphasis on observing a high standard of...

Take Overs and Mergers Regulations

by Editor | Sep 11, 2021 | Capital Markets Authority

Take overs and mergers are controlled by various government agencies, including the CMA. Other noticeable include the Competition Authority of Kenya for general take-over and merger while other sector-specific regulatory bodies weigh in on similar transactions....

Derivatives Markets Regulations

by Editor | Sep 11, 2021 | Capital Markets Authority

In the derivative financial markets, one will encounter various contracts such as the forwards, futures, options, and swaps traded through platforms like securities exchange licensed to trade derivative contracts. CMA is required to be provided with these contracts...