Licensing Requirements and Procedures

The Securities Act of 2001 requires the following of an entity:

Broker Dealer Licence
The Securities Act requires that an entity satisfy the fo...

Limited Service Broker Licence
The licence requirements and documents to be submitted fo...

Custodian Licence
The legislation requires that an entity satisfy the follo...

Investment Advisor Licence
The Securities Act requires that an entity satisfy the fo...

Principal Licence
The conditions for a principal licence are as follows: ...

Representative Licence
The conditions for a representative licence are as follow...

Collective Investment Scheme Custodian
The legislation requires that an entity satisfy the follo...

Collective Investment Scheme Management Company
The licence requirements and documents to be submitted fo...

Self-Regulatory Organizations Licences
Prospective applicants are required to contact the ECSRC ..