Broker

Compliance

Inspection

Lusaka Securities Exchange’s secure platform for registered broker firms to complete, document and submit their annual regulatory compliance checklist.

// Process

How It Works

A simple four-step process for every LuSE-registered broker firm to complete their annual compliance review.

01 Log In Securely

Use your unique LuSE-issued credentials. Each broker firm has a dedicated account with role-based access.

02 Complete Checklist

Work through all 7 sections at your own pace. Save and continue any time progress is always preserved.

03 Upload Documents

Attach required supporting files per section ; policies, licences, financial reports and security records.

04 Submit to LuSE

Submit your completed checklist. Receive a confirmation email. LuSE inspection team begins their review.

Registered Brokers

Inspection Sections

Compliance Questions

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Secure & Encrypted

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Ready to Begin?

Start Your Submission

Log in with your LuSE broker credentials. The portal is open 24/7 — complete at your own pace and submit before the deadline.

⚠ Deadline: 31 August 2025 · Late submissions may result in regulatory action

First time? Contact inspection@luse.co.zm

Broker Inspection Portal

Official regulatory compliance platform operated by the Lusaka Securities Exchange Plc
✓ LuSE Regulated

Sections

→ 01 — KYC & Registration
→ 02 — Order Management
→ 03 — Risk & Compliance
→ 04 — Complaints
→ 05 — Accounting
→ 06 — Legal
→ 07 — ICT & Security

Contact

inspection@luse.co.zm
it@luse.co.zm

2nd Floor, Mamco House, 318B Independence, Lusaka

Mon–Fri: 08:00–17:00