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PROFESSIONAL CODE OF CONDUCT

  1. There shall be a committee to be known as the Chartered Institute of Capital Market Registrars Disciplinary Committee in this Act referred to as “the Disciplinary Committee”} which shall be charged with the duty of considering and determining any case referred to it by the Investigating Panel, established under subsection (3) of this section and any other case of which the Disciplinary Committee has cognizance under the following provisions of this Act.
  2. The Disciplinary Committee shall consist of the Chairman and three other members appointed by the Council.
  3. There shall be a body to be known as the Capital Market Registrars Investigation Panel (in this Act referred to as “the Investigation Panel”) which shall be charged with the duty of ;
    (a) conducting a preliminary investigation into any case where it is alleged that a person fully, provisionally or temporarily registered has misbehaved in his capacity as such, or should for any reason be the subject or proceedings before the Disciplinary Committee; and
    (b) deciding whether the case should be referred to the Disciplinary Committee.
  4. The investigating Panel shall be appointed by the Council and shall consist of two members of the Disciplinary Committee.
  5. The Council may make rules not inconsistent with this Act as to acts, which constitute professional misconduct.