Securities & Derivates Industry Association

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The Security & Derivates Industry Association

The Security & Derivates Industry Association is responsible for guiding the activities with the Security & Derivates Industry.

Guiding the Activities

The Security & Derivates Industry Association is responsible for guiding the activities with the Security & Derivates Industry. It is at the forefront of policies that promote best practices within this industry. It ensures that all members of the industry are held accountable for their actions.

Our Partners

Industry Guide .

The Security & Derivates Industry is one that requires the highest level of integrity and disciple. In turn, there are various rules guiding the activities within this industry. They are as follows.

. Code of Ethics and Conduct .

The objective of this code of ethics and conduct is to expressly state the guidelines, and rules and regulation to be adhered to by members of the SDIA. This code includes ethical rules and principles aimed at addressing particular issues in the industry. The code is open to literal, rigid and broad interpretation. The code’s goal is to uphold and advance the behavioural ethics in the Securities and Derivatives industry and in the behaviour of their employees.

Best Practices Guidelines .

These guidelines’ objective is to help in upholding and advancing the standards in the securities market and financial service industry. This aim is achieved by encouraging ethical dealings and conduct in the financial market. The code stated in these guidelines provides a standard against which appropriate persons may evaluate research and investment recommendations. These standards cut across various areas.

Relevant Committees

The relevant committees are:

Retail Broking Committee

This is a committee responsible for monitoring the activities of the retail brokers within a jurisdiction. This committee is responsible for ensuring that there is no form of wrongdoing when it comes to the activities of retail brokers. This committee plays a significant role in the industry.

This is thanks to the prominent role that retail brokers play in the financial services industry. In turn, it becomes a necessity to ensure that the activities of these persons are properly monitored to protect the integrity of the industry.

Management Committee

A management committee is a body of persons set up to hold important roles in an institution. They are usually senior members of the association that are in charge of the committee. The bulk of the work under this committee is to ensure that things are done majorly by volunteers or staff who manage the organisation’s daily activities. However, in instances where there are smaller organisations, the management committee is more actively involved. The committee members have the utmost responsibility for ensuring and coordinating the affairs of SDIA.

Margin Lending Advisory Panel

This is essentially a panel or committee of stakeholders who wield power and authority to make recommendations on margin lending issues. Their job is to make recommendations solely. However, they do not have the power to implement or enforce these recommendations. This panel is majorly an advisory body. They simply do research, develop findings, and give advice based on these findings.

Find Out About Our Training

This is a program within SDIA that provides all individuals with the opportunity to learn various skills that positively affect their output with the association. These skills are usually related to their practice area or learn general skills. This training, usually a result of elaborate planning, is an opportunity for the professional development of the members of the association.


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