Licensing Requirements (General) Regulations

The regulation reflects its name whereby it provides the various licensing requirements that a person ought to comply with for purposes of securing a license from it and its operation to be considered in compliance with the CMA’s conditions.

The regulations address licensing requirements for securities exchange; stockbrokers and dealers; investment advisers and fund managers; investment banks; authorised securities dealers; transactions of listed securities outside a securities exchange; and general requirements for licensing. It further provides information dissemination to the public and shareholders, investor compensation funds, and other regulatory requirements.