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REGULATORY FRAMEWORK

Overview

The Authority has developed a responsive legal and regulatory framework to ensure a fair, efficient, and orderly capital market. This promotes efficient market, intermediary infrastructure and operations. This is also allows creating systems and strategies that will identify, remove impediments and create incentives for developing innovative market products.

The above Acts, Regulations as well as the Guidelines are what the Authority uses to supervise and regulate the market intermediaries. The regulatory framework is crafted in such a way that it encourages self regulation to the maximum practical extent.

Regulations

TitleDownload
The Capital Market (Alternative Investment Funds) Regulations, 2023 DownloadPreview
The Capital Markets (Credit Rating Agencies) Regulations, 2023 DownloadPreview
The Capital Markets (Public Offers, Listings and Disclosures) Regulations, 2023 DownloadPreview
The Capital Markets (Collective Investment Schemes) Regulations, 2023 DownloadPreview
The Capital Markets (Online Foreign Exchange Trading) (Amendment) Regulations, 2023 DownloadPreview
The Capital Markets (Licensing Requirements) (General) (Amendment) Regulations 2023 DownloadPreview
The Capital Markets (Real Estate Investment Trust) (Collective Investment Schemes) (Amendment) Regulations, 2023 DownloadPreview
Capital Market (Investment-Based Crowdfunding) Regulations 2022 DownloadPreview
Capital Markets (Coffee Exchange) Regulations 2020 DownloadPreview
Capital Markets (Licensing Requirements General) Regulations 2002 DownloadPreview
Capital Markets (Whistleblower) Regulations 2022 DownloadPreview
Capital Markets (Commodity Markets) Regulations 2020 DownloadPreview
Capital Markets (Derivatives Markets Fees) Regulations 2019 DownloadPreview
Capital Markets (Securities Lending Borrowing and Short-Selling) Regulations 2017 DownloadPreview
Capital Markets (Online Foreign Exchange Trading) Regulations 2017 DownloadPreview
Capital Markets (NSE Limited Shareholding) Regulations 2016 DownloadPreview
Capital Markets (Foreign Investors) Regulations 2015 DownloadPreview
Capital Markets (Derivatives Markets) Regulations 2015 DownloadPreview
Capital Markets (Real Estate Investment Trusts Collective Investment Schemes) Regulations 2013 DownloadPreview
Capital Markets (Demutualization of the Nairobi Securities Exchange Limited) Regulations 2012 DownloadPreview

Circulars

TitleDownload
Circular - Request for Proposals for Amendment of the Capital Market (Corporate Governance)(Market Intermediaries)Regulations. DownloadPreview
Guidance to all Dealing and Non-Dealing Online Foreign Exchange Brokers DownloadPreview
Circular to Custodians of Registered Colllective Investment Schemes DownloadPreview
Circular on Profit Warnings Clarification DownloadPreview
Circular- Comparative Table for Collective Investment Schemes-Final DownloadPreview
Public Notice DownloadPreview
Guidance on Perfomance measurement and presentation for Collective Investment Schemes DownloadPreview
Circular - Requirements for Convening and Conducting Virtual General Meetings by Issuers DownloadPreview
CMA- Stakeholder and Public Feeback on Draft Regulations DownloadPreview
CIRCULAR NO. CMA-MRT-003-2017-RAISING AWARENESS ON TAX INCENTIVES FOR CAPITAL MARKETS ACTIVITIES DownloadPreview
CMA ICIFA Joint Industry Guide DownloadPreview
Circular on Additional Guidance DownloadPreview
Circular to All Issuers of Securities and Listed Companies at NSE DownloadPreview
Joint CMA NSE Circular No 1- Circular to Listed Companies on Continuing Obligations DownloadPreview
Changes to Publication of Accounts Format April 2017 DownloadPreview
Template for Reporting of Portfolio Returns DownloadPreview
Market Certification and Standards - 6th Nov 2015 DownloadPreview
Circular - Format for reporting Portfolio returns DownloadPreview
CIRCULAR- COMPLIANCE WITH THE CAPITAL MARKETS COLLECTIVE INVESTMENT SCHEMES REGULATION DownloadPreview
Circular No 12_2016 - ISA 701 to Listed Companies DownloadPreview

Corporate Governance for Issuers

TitleDownload
Joint Circular on Submission of forward looking event calendars for listed companies DownloadPreview
The State of Corporate Governance Report of Issuers of Securities to the Public in Kenya 2023 DownloadPreview
Press Release - CMA Releases 6th Edition of the State of Corporate Governance Report DownloadPreview
Press Release - CMA Releases the Fifth Edition of the State of Corporate Governance Report DownloadPreview
PRESS RELEASE - CMA Publishes Second State of Corporate Governance Report DownloadPreview
Press Release - CMA Releases Third Edition of State of Corporate Governance Report DownloadPreview
The Report On The State Of Corporate Governance Of Issuers Of Securities To The Public In Kenya 2021 DownloadPreview
The Report on the State of Corporate Governance Report of Issuers of Securities to the Public in Kenya 2022 DownloadPreview
The Report on the State of Corporate Governance of Issuers of Securities to the Public in Kenya 2019 DownloadPreview
Circular - Requirements for Convening and Conducting Virtual General Meetings by Issuers1 DownloadPreview
Governance Audits DownloadPreview
Report on the State of Corporate Governance for Issuers of Securities to the Public in Kenya 2018 DownloadPreview
PUBLIC NOTICE - FORMAT FOR REPORTING THE APPLICATION OF THE CODE OF CORP DownloadPreview
Feedback Statement to Issuers Nov 2018 DownloadPreview
Guidance 007-2020-Deferrral Of AGMs For Issuers Licensed Persons Due To Covid-19 DownloadPreview
Circular to Issuers-Format for reporting the application of the CG Code-140617 DownloadPreview
Corporate Governance Reporting Template-For Issuers-140617 DownloadPreview
Corporate Governance Reporting Template - Instructions Sheet- For Issuers 140617 DownloadPreview
FAQs ON THE CORPORATE GOVERNANCE CODE-Updated 140617 DownloadPreview
Code of Corporate Governance Practices for Issuers of Securities to the Public 2015 - Code-8 DownloadPreview

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Contact Us

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+254 20 2264000
+254 20 2264900
+254 20 2221869
Cell: +254 722 207767

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Regulatory Framework

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