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Roles and Responsibilities of Brokerage House

Brokerage houses/brokers are responsible to carry out the following duties:

  • Brokerage houses/brokers must comply with the agreement signed between the investor and them 'in terms of the Account Opening Form'.
  • Brokerage houses/brokers must comply with applicable rules and regulations. (Rules and Regulations are available at the website of the SECP www.secp.gov.pk and that of the respective stock exchanges).
  • Brokerage houses/brokers must provide the investors with set of rules/regulations.
  • Brokerage houses/brokers must comply with the code of conduct enshrined in laws.
  • Brokerage houses/brokers must provide trade confirmations to the investors within 24 hours of trade execution.

Brokerage houses/brokers must not take deposits on fixed return.

Copyrights © 2018 SECP. All rights reserved.

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