SECP And PSX Conduct Broker Compliance Webinar

The Securities and Exchange Commission of Pakistan (SECP) and the Pakistan Stock Exchange (PSX) jointly held a webinar focused on broker compliance, industry officials said, as part of continuing efforts to strengthen governance and transparency in the capital markets. The virtual event brought together regulators, market intermediaries, and compliance professionals to discuss compliance frameworks and supervisory expectations.

During the session, speakers highlighted key areas of regulatory compliance for brokerage firms, emphasizing the importance of adhering to established standards and requirements. Participants were briefed on expectations related to reporting, risk management, client protection, and ethical conduct to ensure market integrity and investor confidence.

Officials from SECP said the webinar aimed to equip brokerages with up‑to‑date guidance on compliance best practices and address common challenges faced in meeting regulatory obligations. They noted that consistent compliance is critical to fostering a fair, transparent, and resilient capital market environment, particularly as market activities expand.

Representatives from the Pakistan Stock Exchange also underscored the need for brokers to maintain high standards of operational discipline and regulatory adherence. The session included discussion on recent developments in market rules and supervisory approaches, as well as a question‑and‑answer segment for participants to seek clarification from regulators.

The webinar is part of ongoing collaboration between SECP and PSX to enhance market supervision, support financial sector stability, and promote investor protection through improved compliance efforts.

Source: Mettisglobal