Dar es Salaam Stock Exchange : Investors Rights and Obligations

DAR ES SALAAM STOCK EXCHANGE PLC

INVESTORS RIGHTS AND OBLIGATIONS

Investor's Rights- Right to:

1. Attend Annual General Meetings.
2. Vote in Annual General Meetings.
3. Obtain dividend payments.
4. Select a Stock Broker/Advisor
5. Transfer their shares to another party in line with the DSE Rules.
6. Get orders executed timely at the agreed price.
7. Obtain a copy of KYC and other executed documents.
8. Obtain accurate and timely account statements from Brokerage Firms for trades executed.
9. Obtain clear information about transactions costs, charges and fees.
10. Receive funds and securities timely as per the DSE Rules.
11. Receive shareholders statements from CSDR.
12. Right to file complaints and get timely response to the complaint.
13. Move accounts to another Brokerage firm whenever the investor wishes in a simple, efficient manner.
14. Compensated through fidelity fund for losses caused by default of a DSE Member.
15. Be served timely with professionalism and respect.
16. Confidentiality by Member of the investor's holdings and particulars.

Investor's Obligations - under Obligation to:

1. Treat staff with respect and courtesy.
2. Provide Know Your Client (KYC) documents and other supporting documents as required.
3. Inform and educate oneself on company's prospectus and other offering documents.
4. Communicate with the financial advisor to obtain right information about Investments.
5. Verify details of trades.
6. Pay all required funds timely.
7. Verify bank account for funds and CDS Account for securities movement.
8. Review contract notes and statement of account.
9. Respect privacy, safety and the needs of other customers.
10. Work with staff to solve problems if any.