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