Notice to Market Operators
RENEWAL OF LICENSES (SS 48-52 PNDCL 333; SS 17 and 19 LI 1728)

Licences issued for investment advisors and dealers and their representatives expire on June 30 annually.  Renewal requests should be sent to SEC a month prior to expiry and should be accompanied by the following

1. renewal fee
2. complete application form (for dealers, investment advisors and their representatives),
3. certified copy of audited accounts,
4. tax clearance certificate, 
5. certified copy of register of interest.

Incomplete applications submitted would not be accepted and would be considered as non-renewal.  Penalties would be imposed with effect from July 1, annually.

Back