• Memorandum & Articles of Association of PSX
• Board Delegations to the Management

• Statement of Code of Conduct and Business Practices Ethics
• Whistle Blowing Policy

PSX Notices,Eligibility Criteria,Guidelines & Procedures

• PSX RULE BOOK
  • English Version (Updated on January-31, 2020)
  • Old Version (applicable before June 23, 2020)
  • PSX RULE MAKING PROCESS
  • Deposit, Fee, Contribution and Other Sums Schedule

• Eligibility Criteria
  • Criteria & Procedure for Appointment of Industry Experts and Nominees of TRE Certificate Holders on ‘Permanent Arbitration Panel’ of PSX
  • Criteria for Selection of auditors for System Audit of Brokers – July 25, 2012
  • Revised Uniform Criteria for Selection of Securities eligible for trading in DFC and CSF Markets – March 27, 2012

• Clarification & Guidelines
  • Guidelines on Anti-Money Laundering, Countering Financing of Terrorism and Proliferation Financing (updated April, 2020)
  • Guideline for Reporting Entities for filing of Suspicious Transaction Reports
  • Guidelines for Public Advertisement of Business of Securities Brokers
  • Clarification relating to ‘Accounting and Audit Requirements’ under the Securities Act, 2016 and Securities Brokers
  • Clarification / Guideline for preparation of Net Capital Balance (NCB) Certificate dated – July 03, 2013
  • Clarification / Guideline for preparation of NCB Certificate dated December 20, 2013
  • Clarification / Guideline for preparation of NCB Certificate dated June 25, 2015
  • Regulatory Compliance Requirements and Schedule of Reporting for all TRE Certificate Holders
  • Guidelines on SECP (AML and CFT) Regulations, 2018
    • Annexure 1 – Risk Based Approach
    • Annexure 2 – Compliance Assessment Checklist

• Procedures
  • Format of Bank Guarantee to be Submitted by Brokers with KSE as Margin
  • Procedures for rectification of erroneous trades
  • Procedure of Acquiring BATS Terminal
  • Procedure of Acquiring KATS Terminal
  • Procedure of Acquiring FIX Gateway
  • Off Market Transactions Verification Procedures
    • NDM Verification Process
    • NDM Verification Process Clarification

• Manual for the submission of Quarterly Return through online Financial Reporting System (FRS):
  • English Version
  • Urdu Version

• Procedures for online submission of Liquid Capital and Net Capital Balance:
  • Notice - Online Submission of Liquid Capital and Net Capital Balance
  • Format of Liquid Capital Balance (New)
  • Format of Net Capital Balance

• Circulars
  • Mandatory Certification for the professionals of Capital Market – April 08, 2015
  • Specimen of Risk Disclosure Document formulated under the Securities Brokers (Licensing and Operations) Regulations, 2016
  • Submission of ‘Customer Grievances Details’ as required under the Securities Brokers (Licensing and Operations) Regulations, 2016
  • Submission of information relating to ‘Trading by Directors and Substantial Shareholders of Securities Brokers’ as required under Securities Brokers (Licensing and Operations) Regulations, 2016