Consumer Education - Capital Markets

Capital markets directorate leads in the development and review of the regulatory framework for Capital Markets and ensures that all regulated activities in the sector are conducted in strict compliance with the governing laws.

Rules & Regulations the Authority uses:

• Non-Bank Financial Institutions Regulatory Authority (Securities Business Corporate Governance) Rules
• Non-Bank Financial Institutions Regulatory Authority (Market Intermediaries’ Conduct of Business) Rules
• Non-Bank Financial Institutions Regulatory (Market Intermediaries’ Licensing) Rules
• Non-Bank Financial Institutions Regulatory Authority (Persons Operating a Securities Infrastructure Business)

Rules In addition, NBFIRA requires that all key persons and controllers go through a fit and proper assessment as per the NBFIRA Market Intermediary Licensing Rules. The requirements are as follows;

1. Copy of Curriculum Vitae
2. Certified copy of ID(omang) for citizens/passport for non-citizens
3. Certified copies of qualifications
4. Police Clearance obtained in country of residence
5. Bank reference letter to serve as proof of financial standing
6. DIS security vetting form
7. Schedule 1b and schedule 3 (from the market intermediary licensing rules)
8. 2 passport size photos
    

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