Guidance Notes

Guidance Notes & Resources

This listing includes SEC Guidance Notes, you can download them and read at your own convenient time.

21 Jul

Market Guidance on The Application Process For A Share Transfer Agent’s Licence

16 Jan

Graduated Fines Framework

14 Dec

Market Guidance Note No.1 of 2018- Payment of Annual Fees

15 Feb

Guidance Note No. 1 of 2017 – Minimum Complaints Handling Procedures for Capital Markets Licensees in Zambia

31 Dec

Market Guidance Note On Rule 16 & 18

4 Sep

Market Guidance Note No. 1 of 2014

Enforcement & Compliance

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