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Investments
Brokerage Entities is responsible for the licensing and supervision of entities providing investment services. The regulated entities would be licensed to provide investment services in relation to those financial instruments (for example shares, and bonds) listed in their license.
Brokerage Entities will only issue an investment services license if it is satisfied that the applicant is a fit and proper person to provide the investment service concerned and that the applicant will comply with and observe at all times all the rules applicable to the license holder.
The concept of fit and proper is a fundamental regulatory concept. This is a rigorous test that requires senior staff and potential and existing licensees to demonstrate competence, integrity, and solvency i.e. they have sufficient capital, in all their dealings. This concept needs to be practiced both at licensing stage and on an ongoing basis thereafter.
Investor Awareness
Financial literacy is key to helping consumers make informed decisions about how to invest their money. Brokerage Entities is strongly committed to their obligation toward the protection and education of consumers of financial services.
Before, During, and After the Investment
Here you find a list of documents that you will come across when investing.
Investor Profile
Before providing you with an investment service, your firm is required to carry out a client classification and categorize you as a Retail or Professional client.
Online Investing
The internet is a legitimate channel that is increasingly used by firms to market investment products to retail investors. Firms use the internet to offer retail investors instant access to their systems.
Investor Compensation Scheme
The Investor Compensation Scheme is a rescue fund for investors of investment firms that are licensed by Brokerage Entities and which have stopped trading and/or have become insolvent.
