Complain about a stockbroker, fund manager or investment firm (CMA)
Capital Markets Authority · sources read 2 Oct 2026
First complain to the firm itself and keep a record. If it isn't fixed, go to the NSE or CDSC, then the Capital Markets Authority (CMA) through its online complaints portal, complaints@cma.or.ke, or the complaint form. CMA can also take a complaint directly, at any stage.
- Fee
- We couldn't confirm a fee from the official page. Check it there before you pay.
- Where
- Online on the CMA complaints portal (onlineservices.cma.or.ke), by email to complaints@cma.or.ke, or at CMA, Embankment Plaza, 3rd Floor, Longonot Road, Upper Hill, Nairobi
What you need
- What the complaint is about, who you're complaining against, the product involved, and your email and phone number
- Copies (not originals) of any helpful documents
- Reference numbers and letters or emails from the firm or NSE/CDSC about your complaint
Steps
- Contact the broker, fund manager or company directly. Keep a record of how and when you contacted them.
- If you're unhappy with their response, contact the Nairobi Securities Exchange (NSE) or CDSC, as applicable.
- If it's still not resolved, complain to CMA.
- Use the CMA online complaints portal (register an account first), email complaints@cma.or.ke, or hand in or post the complaint form to CMA, Embankment Plaza, 3rd Floor, Longonot Road, Upper Hill, Nairobi.
- CMA confirms it has your complaint and gives a reference number. Quote it whenever you contact CMA.
Watch out
- You can go straight to CMA if needed: it can receive any capital markets complaint, whatever its value or stage.
- To report a possible breach of capital markets law (for example by an insider), use CMA's Whistleblower portal. You can stay anonymous.
- For fraud such as shares sold behind your back, also report to the Capital Markets Fraud Investigation Unit: antifraudunit@cma.or.ke or 0714 693 414.
Who can apply
- Anyone unhappy with a capital markets product or service, such as a stockbroker, fund manager, unit trust or listed company.
Official sources (4)
- Investor complaints procedure cma.or.ke · read 2 Oct 2026
- Complaints Procedure cma.or.ke · read 2 Oct 2026
- Complaints cma.or.ke · read 2 Oct 2026
- CMA Online Services - Complaints onlineservices.cma.or.ke · read 2 Oct 2026