Edgar Mutebi

-Responsibilities include reviewing prospectuses and IM's for both primary and secondary listings in order for issuers to meet the listing requirements before going public and investor protection. -Handling and reviewing license applications and renewals before giving recommendation to the Legal and Regulatory Affairs committee on whether or not to grant the license. This helps in approving only qualified individuals and intermediaries. -Taking the lead in monitoring licensed intermediaries regulatory compliance against the regulatory framework of the Capital Markets Authority (CMA) thereby improving the compliance culture of these companies. -Reviewing of stock brokers monthly and Fund and Collective Investment Scheme Managers net capital submissions, carryout financial analysis and stress tests in order to determine their financial resilience as a means to mitigate financial and market risk. -Designing risk assessment methodologies, questionnaires and templates to be used by Stock Brokers, Fund Managers, Securities Exchanges and SCDS using global standards such as those set by International Organization of Securities Commissions (IOSCO). These profiling tools enable the Supervision Department to know which licensed intermediaries are high risk and require either to be on the regulator’s watch list or be inspected. -Carryout Regulatory Capital Stress Testing of market Intermediaries especially Collective Investment Scheme Managers and for the stock exchanges, the Guarantee Fund. These tests help the Market Supervision department evaluating their ability or resilience to adverse redemption shocks -Formulating and undertaking routine, ad-hoc and thematic inspections and investigations of Market Intermediaries in order to enhance the integrity of the capital markets. This includes examining financial disclosure records, desk top reviews and continuously monitor their compliance with regulatory requirements and make recommendations on regulatory gaps identified.