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Capital Markets (Registers of Interests in Securities) Regulations

Statutory Instrument 57 of 1996 Current version · as at 06 December 1996
Enacted1996
Commenced06 December 1996
Last amended—
Point-in-time consolidation · as at 06 December 1996. This page may not reflect amendments made after that date. Confirm the current position against the latest Uganda Gazette before relying on it.

About this Act

A full descriptive summary for this Act has not been recorded yet.

Jurisdiction
Uganda
Type
Principal Legislation
Status
In force
Language
English

Full text of the Act

0 parts · 9 sections

Enhanced Annotated View adds approved, source-linked propositions, operative requirements, judicial passages, related provisions, amendment notes and authority status. Choose Original PDF to inspect the source consolidation.

Uganda

Capital Markets (Registers of Interests in Securities) Regulations

Commenced on 06 December 1996

[This is the version of this document at 06 December 1996.]

1. Title

The text of this section isn't in the consolidation we hold — see the original PDF above.

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What this section does
Governing rule

This section states the governing statutory rule for “Title”.

“Title”
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Practical effect

Use this section as the starting statutory rule for “Title”, together with the linked provisions and current consolidation.

Deterministic editorial synthesis — not a substitute for the statutory text Editorial synthesis approved
Elements or requirements

Operative requirements extracted from the consolidated text.

0

This section states a single governing proposition and does not enumerate separate elements.

Judicial interpretation

Express propositions in source-matched passages from judgments citing this section.

0

No judgment in the current Wakilii corpus expressly cites this section. Bare rule-number references are not assigned where the Order cannot be verified.

Related provisions

No express internal or cross-Act reference appears in this section.

Amendment notes

No section-specific amendment note or instrument-level amendment history appears in this consolidation.

Authority status: legislation is primary authority; judgment weight follows the displayed court level and the ratio caveat. Check version history

2. Interpretation

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Section analysis Source-linked statutory analysis Source linked
Approved statute annotation. Statutory quotations are matched to this consolidation and judicial passages are linked to judgments. Check the primary sources alongside this analysis.
What this section does
Definition

This section supplies the definitions or statutory meaning governing “Interpretation”.

“Interpretation”
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Practical effect

Use this definition when interpreting other provisions that employ the language addressed by “Interpretation”.

Deterministic editorial synthesis — not a substitute for the statutory text Editorial synthesis approved
Elements or requirements

Operative requirements extracted from the consolidated text.

0

This section states a single governing proposition and does not enumerate separate elements.

Judicial interpretation

Express propositions in source-matched passages from judgments citing this section.

0

No judgment in the current Wakilii corpus expressly cites this section. Bare rule-number references are not assigned where the Order cannot be verified.

Related provisions

No express internal or cross-Act reference appears in this section.

Amendment notes

No section-specific amendment note or instrument-level amendment history appears in this consolidation.

Authority status: legislation is primary authority; judgment weight follows the displayed court level and the ratio caveat. Check version history

3. Form of registers

The text of this section isn't in the consolidation we hold — see the original PDF above.

Section analysis Source-linked statutory analysis Source linked
Approved statute annotation. Statutory quotations are matched to this consolidation and judicial passages are linked to judgments. Check the primary sources alongside this analysis.
What this section does
Governing rule

This section states the governing statutory rule for “Form of registers”.

“Form of registers”
Primary legislation Source quotation matched
Practical effect

Use this section as the starting statutory rule for “Form of registers”, together with the linked provisions and current consolidation.

Deterministic editorial synthesis — not a substitute for the statutory text Editorial synthesis approved
Elements or requirements

Operative requirements extracted from the consolidated text.

0

This section states a single governing proposition and does not enumerate separate elements.

Judicial interpretation

Express propositions in source-matched passages from judgments citing this section.

0

No judgment in the current Wakilii corpus expressly cites this section. Bare rule-number references are not assigned where the Order cannot be verified.

Related provisions

No express internal or cross-Act reference appears in this section.

Amendment notes

No section-specific amendment note or instrument-level amendment history appears in this consolidation.

Authority status: legislation is primary authority; judgment weight follows the displayed court level and the ratio caveat. Check version history

4. Period of entry on register

The text of this section isn't in the consolidation we hold — see the original PDF above.

Section analysis Source-linked statutory analysis Source linked
Approved statute annotation. Statutory quotations are matched to this consolidation and judicial passages are linked to judgments. Check the primary sources alongside this analysis.
What this section does
Governing rule

This section states the governing statutory rule for “Period of entry on register”.

“Period of entry on register”
Primary legislation Source quotation matched
Practical effect

Use this section as the starting statutory rule for “Period of entry on register”, together with the linked provisions and current consolidation.

Deterministic editorial synthesis — not a substitute for the statutory text Editorial synthesis approved
Elements or requirements

Operative requirements extracted from the consolidated text.

0

This section states a single governing proposition and does not enumerate separate elements.

Judicial interpretation

Express propositions in source-matched passages from judgments citing this section.

0

No judgment in the current Wakilii corpus expressly cites this section. Bare rule-number references are not assigned where the Order cannot be verified.

Related provisions

No express internal or cross-Act reference appears in this section.

Amendment notes

No section-specific amendment note or instrument-level amendment history appears in this consolidation.

Authority status: legislation is primary authority; judgment weight follows the displayed court level and the ratio caveat. Check version history

5. Changes in interest in securities

Forms of Register

STATUTORY INSTRUMEN TS. 1996 No. 57. The Capital Markets (Registers of Interests in Securities) Regulations, 1996. (Under section 102 of the Capital Markets Authority Statute, 1996 Statute No. 1 of 1996).

In exercise of the powers conferred on the Authority by section 102 of the Capital Markets Authority Statute, 1996 these Statute No. I of Regulations are made this 20th day of November, 1996. 1996.

Section analysis Source-linked statutory analysis Source linked
Approved statute annotation. Statutory quotations are matched to this consolidation and judicial passages are linked to judgments. Check the primary sources alongside this analysis.
What this section does
Statutory power

This section confers or regulates the statutory power described as “Changes in interest in securities”.

“Forms of Register”
Primary legislation Source quotation matched
Practical effect

The power must be exercised by the authorised decision-maker, within the conditions and purpose stated in the section.

Deterministic editorial synthesis — not a substitute for the statutory text Editorial synthesis approved
Elements or requirements

Operative requirements extracted from the consolidated text.

0

This section states a single governing proposition and does not enumerate separate elements.

Judicial interpretation

Express propositions in source-matched passages from judgments citing this section.

0

No judgment in the current Wakilii corpus expressly cites this section. Bare rule-number references are not assigned where the Order cannot be verified.

Related provisions

No express internal or cross-Act reference appears in this section.

Amendment notes

No section-specific amendment note or instrument-level amendment history appears in this consolidation.

Authority status: legislation is primary authority; judgment weight follows the displayed court level and the ratio caveat. Check version history

1. These

Regulations may be cited as the Capital Markets Title (Registers of Interests in Securities) Regulations, 1996.

2. (1)

In these Regulations, unless the context otherwise Inter pretation. requires- "register" means a register of interests in securities required under section 50 of the Statute; "Statute" means the Capital Markets Authority Statute, Statute No. I of 1996. 1996.

(2)

In these Regulations, any term defined in the Statute shall have the meaning assigned to it in the Statute.

3. Every licenced broker or dealer, broker or dealer's Form of

registers. representative, investment adviser, investment representative and financial journalist shall maintain a register of securities in which he or she has an interest in the fojrn prescribed in the Schedule to these Regulations.

4. Particulars of the securities in which

a person to whom Period of entry in these Regulations apply has an interest shall be entered in the register. register within seven days after acquisition or disposal of the interest.

Changes in 5. Where there is a change in the interest or interests in interest in . . securiiics. securities of a person to whom these Regulations apply, he or she shall enter in the register, within 7 days after the date of the change, full particulars of the change, including the date of the change and the circumstances by reason of which that change has occurred and, for the pupposes of this regulation, where a person acquires or disposes of securities, there shall be taken to be a change in the interest or interests of that person in the securities concerned.

Regulation 3. FORM OF REGISTERS.

FORMA REGISTER OF INTERESTS IN SECURITIES FOR BROKER OR DEALER OR BROKER OR DEALER'S REPRESENTATIVES

I

PURCHASES REGISTER

Date Name of Seller Type and Description Amount Paid of Security

II

SALES REGISTER

Date Name of Buyer Type and Description Amount Paid of Security

FORM B

REGISTER OF INTERESTS IN SECURITIES FOR INVESTMENT ADVISERS AND REPRESENTATIVES

Date Name of Client Type and Description of Security

FORM C

REGISTER OF INTERESTS IN SECURITIES FOR FINANCIAL JOURNALISTS

Date of Name of Journal or Title of Analytical Volume No. or Publication News paper Report of Publication

LEO KIBIRANGO, Chairman, Capital Markets Authority.

Original Laws of Uganda consolidation (as at 06 December 1996) — public-domain legislation, consolidated by ULII / Laws.Africa (CC BY 4.0). This is a point-in-time text and may not reflect later amendments; confirm against the latest Uganda Gazette before relying on it.