Chapter-5 Provisions Relation to License to Carry on Securities Business

Section 69: Records of formal agents

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(1) The Board shall maintain a register of all formal agents and maintain updated records in the register.

(2) The register to be established pursuant to sub-section (1) shall, inter alia, contain the following matters and also updated records of formal agents shall be maintained therein:-

(a) Name and address of the formal agent,

(b) Date of registration as a formal agent,

(c) Name and address of securities business person appointing agents,

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

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Section 69: Records of formal agents

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