Security Exchange Commission (SECP)

Ensuring that brokers, dealers, and other market intermediaries comply with SECP’s regulations for licensing, conduct, and risk management.

Adhering to SECP’s guidelines for non-banking financial institutions, including leasing companies, modarabas, and venture capital companies.

Complying with SECP’s requirements for credit rating agencies, including registration, disclosure, and performance evaluation.

Ensuring compliance with SECP’s regulations for mutual funds, pension funds, and other collective investment schemes

Engaging with SECP on policy matters, participating in consultations, and providing feedback on regulatory initiatives that impact the corporate sector.

Obtaining SECP’s approval for mergers, acquisitions, and other corporate restructuring activities.

Implementing measures to protect the interests of investors, including providing accurate information, handling complaints, and conducting investor awareness programs.

Adhering to SECP’s regulations and guidelines on preventing insider trading, market manipulation, and other forms of market abuse

Responding to SECP’s enforcement actions, investigations, and disciplinary proceedings for non-compliance with regulations.

Implementing and maintaining effective corporate governance practices as prescribed by SECP, including the appointment of directors, transparency, and accountability

Ensuring that companies adhere to SECP’s regulations and guidelines regarding corporate governance, financial reporting, and disclosure requirements

Ensuring that companies listed on the stock exchange adhere to SECP’s listing regulations, including disclosure of material information, timely reporting, and compliance with trading rules.

Navigating the process of registering and incorporating companies in accordance with SECP guidelines, including submission of required documents and fees.

Complying with SECP’s AML/CFT regulations, including customer due diligence, reporting suspicious transactions, and implementing internal controls.

Meeting SECP’s requirements for the timely submission of annual financial statements, including balance sheets, income statements, and cash flow statements.