Capital Market Transaction Overview
REGULATORY FRAMEWORK
Securities and Exchange Commission Rules and Regulations: specifies registration requirements
for CM Operators and regulation of their activities, sets out the process for obtaining approval
from SEC, states the content of transaction documents, sets out detailed rules regarding raising
capital
Investment and Securities Tribunal: Established pursuant to the Investment and Securities Act,
resolves disputes relating to capital Market activities, resolves disputes on the interpretation of
Capital Market Laws.
NASD(National Association of Securities Dealers): NASD Plc,self-regulatory organization
registered by SEC, provides trading platform where securities not listed on any traditional
exchange registered by SEC can be traded through licensed stock broking houses, licensed
OTC transactions.View entire presentation