Securities
The FSC licences Securities Exchanges, Clearing and Settlement Facilities, Securities Trading Systems, Investment Funds Intermediaries and also registers Reporting Issuers and Investment Clubs.
An Investment Fund, which is authorised under Section 97 of the SA, may be structured as a company, a protected cell company, a trust, a limited partnership, foundation or any other legal entity prescribed or approved by the FSC.
Applicants must submit a complete application with all relevant documents so as to enable the FSC to process their application for licensing / registration / authorisation.
SEC-2.1A: Investment Dealer Full Service dealer (including Underwriting)
SEC-2.1B: Investment Dealer Full Service dealer (excluding Underwriting)
SEC-2.2: Investment Dealer Broker
SEC-2.3: Investment Dealer Discount Broker
SEC-2.8: Investment Dealer Commodity Derivatives Segment
SEC-2.9: Investment Dealer Currency Derivatives Segment
SEC 2.6A: Representative of Investment Dealer (Full Service Dealer) Type 1
SEC 2.6B: Representative of Investment Dealer (Full Service Dealer) Type 2
SEC 2.6C: Representative of Investment Dealer (Full Service Dealer) Type 3
SEC 2.6D: Representative of Investment Dealer (Broker) Type 1
SEC 2.6E: Representative of Investment Dealer (Broker) Type 2
SEC 2.6F: Representative of Investment Dealer (Discount Broker)
SEC-2.4: Investment Adviser (Unrestricted)
SEC-2.5: Investment Adviser (Restricted)
SEC-2.5A: Investment adviser (corporate finance advisory)
SEC-2.7A: Representatives of Investment Adviser (Unrestricted)
SEC-2.7B: Representatives of Investment Adviser (Restricted)
SEC-2.7C: Representative of Investment adviser (corporate finance advisory)
SEC-1.1: Securities Exchange
SEC-1.2: Clearing & Settlement Facility
SEC-1.3: Securities Trading Systems
SEC-3.1A: CIS (Single fund)
SEC-3.1Bv: CIS (having more than 1 fund)
SEC-3.1Cv: CIS (Protected Cell Company)
SEC-3.2A: Closed-end Fund (Single Fund)
SEC-3.2Bv: Closed-end Fund (having more than 1 fund)
SEC-3.2Cv: Closed-end Fund(Protected Cell Company)
SEC-3.3A: Single Fund
SEC-3.3B: Scheme with more than 1 sub fund
SEC-4.1: Custodian
SEC-4.2: CIS Manager
SEC-4.3: CIS Administrator (Approval)
SEC-4.4: Reporting Issuers
SEC-5.1: Foreign Investment Dealer (Commodity Derivatives Segment)
SEC-5.2: Foreign Investment Dealer (Currency Derivatives Segment)
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