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Investment Banks

Key points for Investment Banking clients

Clients interested in using the services of an investment bank must assure:

  1. The company is registered with the SECP.
  2. The company is licensed to perform investment finance services.
  3. The company has developed proper systems and controls with appropriate level of documentation for dealing with clients.
  4. Proper documentary evidence in the form of invoice/certificate/receipt is issued for every transaction with clients.
  5. All transactions valuing more than Rs. 50,000 are made through cheques.
  6. The company has its official web site which is updated regularly.
  7. The persons acting on behalf of the company are duly authorized representatives of the company.
  8. The company is not performing any unlawful business.
  9. All the product features, terms and conditions should be thoroughly examined before executing any transaction with the company.

All claims made by the company regarding its profitability, performance, repayment/return history should be backed by relevant documentary evidence such as its financial statements, credit rating reports etc.

Copyrights © 2018 SECP. All rights reserved.

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