Securities Markets Regulations, 2015 · s 33

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s 33

Ill The minimum financial requirements for a holder of a capital markets services licence pertain to the following types of regulated activities under the

Order which include -

193

(a}

dealing and arranging deals in investments as principal or agent;

(b}

managing investments including collective investment scheme management and establishing, operating or winding up a collective investment scheme;

(c}

giving or offering investment advice in his capacity as an investment adviser or a financial planner;

(d}

using computer-based systems for giving investment instructions;