The CSE Stock brokers/Stock dealers are required to comply with various requirements as mentioned in the rules and regulations of BSEC and CSE. These include:
Audited Annual Accounts within four months of the end of the financial year;
Monthly Net Capital balance Report;
Monthly report on Financial Netting and Loan amount provided to the customers by the brokers.
Monthly report on Credit facilities provided to customers.
Monthly report on branch office transactions and activities.
Monthly report on information of Margin Loan and investment in Dealer account.
Half yearly report on overall trading and asset-liabilities position within the last day of the next month after completion of the half year ending on 30th June and 31st December each year.
Shareholding pattern/position by-yearly;
Any changes in respect of management, structural or legal status of Stock Brokers/stock dealer must be informed to the Commission within 15 (fifteen) days through stock exchange;
Compliance Authority report relating to the compliance of rules and regulations of the Exchange and SEC by his/her Member Company. The report will have to be submitted to the Exchange within 15 days after the end of every six-month period ending on 30th June and 31st December of the year.
Maintenance of the net worth at least half of its paid up capital at all times.
Maintenance of risk based capital adequacy requirements i.e. net capital balance and the aggregate indebtedness ratio between net capital and aggregate liabilities shall not be exceeded the ratio of 1:20.
Renewal of the Stock Broker/Stock Dealer registration certificate with SEC before 30 days of the expiry of the registration certificate.