Form 7 (Renewal Dealer Investment Rep)
APPLICATION FOR RENEWAL OF REPRESENTATIVE’S LICENCE Application is hereby made for the renewal of: A dealer’s representative’s/an investment representative’s* licence and the following statements are made in respect of the application.
Form 6 (Representative Licence)
APPLICATION FOR REPRESENTATIVE’S LICENCE Application is hereby made for: A dealer’s representative’s/an investment representative’s* licence and the following statements are made in respect of the application.
Form 5 (Dealer Investment Adviser Renewal)
APPLICATION FOR RENEWAL OF DEALER’S LICENCE OR INVESTMENT ADVISER’S LICENCE Application is hereby made for the renewal of a Dealer’s/an Investment Adviser’s* licence and the following statements are made in respect of the applicant: 1. (a) Applicant’s name: (b) Expiry date of licence: (c) Licence No.: 2. Where the applicant is a company to complete […]
Form 4 (Investment Licence)
APPLICATION BY A COMPANY FOR INVESTMENT ADVISER’S LICENCE Application is hereby made for an Investment Adviser’s licence under the Act and the following statements are made in respect thereof Notes: (1) If space is insufficient to provide details, where necessary, please attach annexure(s). Any such annexure should be identified as such and signed by the […]
Form 3 (Individual Investment Licence)
APPLICATION BY AN INDIVIDUAL FOR INVESTMENT ADVISER’S LICENCE Application is hereby made for an investment adviser’s licence under the Act and the following statements are made in respect thereof: Note: (1) If space is insufficient to provide details, please attach annexure(s). Any such annexure should be identified as such and signed by the signatory to […]
Form 2 (Dealer Application Form)
APPLICATION BY COMPANY FOR DEALER’S LICENCE Application is hereby made for a Dealer’s Licence under the Act and the following statements are made in respect thereof: Notes: (1) If space is insufficient to provide details, please attach annexure(s). Any such annexure should be identified as such and signed by the signatory to this application. (2) […]
Form 1 Securities Exchange Licence
APPLICATION BY COMPANY TO BE LICENSED AS A SECURITIES EXCHANGE Application is hereby made to be licensed as a securities exchange under the Act and the following statements are made in respect thereof: Note: This application must be accompanied by- (a) the last audited balance sheet and profit and loss account certified as required by […]
Draft Rules governing the application of the Securities Act section 146 to 149 updated
Scope of these RulesThese rules deal with the application of Section 146 to 149 of the Securities Act of 2016 (the “Act”). They do not address any other section of the Act not directly cited and they have been designed to guide the implementation of the aforementioned sections of the Act as briefly summarized below: […]
Draft Securities (Licensing Fees and Levies)(Amendment) Rules 2018 -Stakeholder Consultation Version
IN EXERCISE of the powers contained in sections 9 and 220 of the Securities Act, the following Rules are hereby made: These Rules may be cited as the Securities (Licensing, Fees, and Levies) (Amendment) Rules, 2018 and shall be read as one with Securities (Licensing, Fees and Levies) Rules, in these Rules referred to as […]
Draft Key Fact Statements (KFS) Rules
IN EXERCISE of the powers contained in Section 128 and 220 of the Securities Act 2016, the following Rules are made: These Rules can be cited as the Securities (Collective Investment Scheme) (Key Facts Statement) Rules 2018. These Rules shall apply to all Collective Investment Schemes as defined in the Act. In the rules, unless […]