Investment Dealers Policies Guidelines

Investment Dealers Reporting Requirements

• Evidence of capital held as prescribed in ID Regs 4
• Audited accounts be filed within 6 months of the financial year end;
• A Certificate of Solvency and an Annual Compliance Certificate (“annual certificates”) signed by a director and a senior officer;
• A certificate signed by an approved auditor, to confirm compliance with the applicable statutory requirements;
• Evidence of Professional Indemnity Insurance as prescribed; and
• Payment of the annual Investment Dealers licence fee.

Emphasis is placed on the fitness and propriety of individuals appointed as directors, as well as the beneficial owners, managers, shareholders and partners of the applicant. Therefore in addition to the documentation listed above, all directors, beneficial owners, managers, shareholders and partners are to provide the following documents:

• Biographical Affidavit
• At least One Financial Reference
• At least One Character Reference
• Police Certificate from country of residence
• Certified copy of passport picture page
• Curriculum Vitae

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