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Our code of ethics

Disputes and mechanism for resolution

•  Any member may submit a complaint of violation of this Code by another member to the relevant committee of KASIB which shall take necessary steps to ensure that the member in violation remedies any such breach.

•  In case the committee cannot resolve the issue, it shall be referred to the board of KASIB which shall ensure that it is settled amicably.

•  If the issue cannot still be resolved, the aggrieved member shall be entitled to the recourses available under the Capital Markets Act and any other relevant laws, rules and regulations.

•  If any dispute arises between two or more members concerning any issue, the members shall take all reasonable steps and co-operate to ensure that the dispute is settled by way of negotiation. If the dispute cannot be determined by negotiation, it shall be resolved in accordance with the dispute resolution mechanisms provided for under the KASIB rules, the Capital Markets Act and other relevant laws.

 

•  AMENDMENT

•  This Code may be amended from time to time as may be agreed by the Members.

•  No amendment to the Code may come into force unless and until it has been approved by KASIB and the Regulator.