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Stock broker licence

Regulate stock brokers

Details

Requirements

  • Completed form 1 signed by the applicant.
  • Certified copy of Articles and Memorandum of Association.
  • Certified copy of Certificate of Incorporation.
  • Organizational structure.
  • Complete CVs of Board of Directors.
  • Copies of the passport for the directors.
  • Coloured passport photos for the directors.
  • Complete CVs of Senior management staff.
  • Coloured passport photos for all the staff.
  • Copies of identification cards for the staff.
  • Capital requirement: Paid up capital and reserves of not less than Ugx. 150 million for a fund manager license; For broker dealer, a net capital of Ugx. 15,000,000.
  • A full set of latest audited financial statements.
  • A comprehensive business plan.
  • Internal controls ( risk management, operational controls, procedures manuals).
  • Contact details of three independent referees supporting the application.
  • Evidence of payment of fees.
  • Evidence of a Taxpayer Identification Number (TIN).
  • Copy of the current bank statement.
  • Certificate of good conduct from the police, for the Directors of the company.
  • Details of the custodian bank(s) in Uganda.

Download Forms/Info

Agencies

Capital Markets Authority

  • Phone:+256 414 342 788, +256 312 264950 / 1, +256 772 589997
  • Physical Address:8th Floor, Jubilee Insurance Centre 14 Parliament Avenue
  • Postal Address:P. O. Box 24565 Kampala, Uganda
  • Jurisdiction:National
  • Email Address:info@cmauganda.co.ug
  • Website: www.cmauganda.co.ug
  • Operating Hours:Moday to Friday, 8:00am-5:00pm (excluding weekends and public holidays)
  • Directions: View Directions