Section 68: To maintain records of securities business persons

1) The Board shall maintain a register of all licensed securities business persons and maintain updated records in the register.

2) The following matters shall also be specified in the register to be maintained pursuant to sub-section (1) and updated records of securities business persons maintained therein:-

(a) Names and addresses of securities business persons,

(b) Date of issue of license to securities business persons,

(c) Types of securities business,

(d) Terms and conditions specified in the license,

(e) Names and addresses of the formal agents,

(f) Names and addresses of managers and officers,

(g) Place where documents and records pertaining to securities business are kept,

(h) Names of the directors of the company or body, names of company secretaries and name of each shareholder and the number of shares held by such a shareholder,

(i) Such other details as the Board considers necessary and appropriate.