Friday, July 30, 2021

Capital Markets and Collective Investment Schemes

  • Securities
  • Mutual Funds

Legislations

Consolidated Securities Act, 2007 to 20th December, 2018

Securities ACT, 2007

Securities (Conduct of Business) Regulations, 2008

Securities (Forms and Fees) Regulations, 2008

Securities (Prospectus) Regulations, 2008

Securities (Takeovers) Regulations, 2008

Securities (Financial Statements) Regulations, 2008

Securities (Advertisements) Regulations, 2008

Securities (Substantial Activity Requirements) Regulations,2018

Securities (Forms and Fees)(Amendment)Regulations,2020

Codes

Code on Outsourcing of Compliance Function

Code for Fit and Proper and Competency Standards

Application Forms

Securities Dealer Licence Application Form

Exempt Overseas Securities Dealer Application Form

Securities Exchange Licence Application Form

Investment Advisor Licence Application Form for Companies

Investment Advisor License Application Form for Individuals

Representative Licence Application Form

Securities Facility Licence Application Form

Clearing Agency Licence Application Form

Personal Questionnaire Form

Questionnaire Form for Shareholders and Beneficial Owners

Tax Clearance Certification

Politically Exposed Person (PEP) Form

Notification and Certification Forms

Checklist for Licensees

Securities Dealer Quarterly Returns Form

Investment Advisor Quarterly Returns Form

Securities Exchange Quarterly Returns Form

Quarterly Returns Declaration Form

Guidance

Securities Dealer Application Guidelines

Investment Advisor Application Guidelines

Representative Application Guidelines

Frequently Asked Questions for Outsourcing of Compliance Function

Substantial Activity Requirements Guidelines

Legislations

Mutual Fund & Hedge Fund Act 2008 (Official Gazette)

Mutual Fund and Hedge Fund Act 2008

Consolidated Mutual Fund and Hedge Fund Act,2008

Mutual Fund and Hedge Fund (Substantial Activity Requirements) Regulations

Mutual Fund and Hedge Fund (Amendment of Schedule 1) Regulations,2020

Codes

Code on Outsourcing of Compliance Function

Code for Fit and Proper and Competency Standards

Application Forms

Approved Foreign Administrator Application Form

Exempt Foreign Fund Application Form

Fund Administrator Licence Application Form

Public Fund Licence Application Form

Professional Fund Licence Application Form

Private Fund Licence Application Form

Personal Questionnaire Form

Questionnaire Form for Shareholders and Beneficial Owners

Tax Clearance Certification

Politically Exposed Person (PEP) Form

Checklist for Licensees under the MFHF Act 2008

Notification and Declaration Forms; Mutual Fund and Hedge Fund Act, 2008

Mutual Funds Quarterly Returns Form

Mutual Fund Administrator Quarterly Returns Form

Quarterly Returns Declaration Form

Guidance

Mutual Fund Guidelines

Fund Administrator and Approved Foreign Administrator Application Guidelines

Principles and Guidelines Relating to the Custody of Fund Assets

Substantial Activity Requirements Guidelines