About
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Our mission is to provide supervisory oversight and regulate Capital Markets such as exchanges, stockbrokers, investment managers, unit trust management companies, linked investment service providers (LISPs), unlisted investment managers, and special purpose vehicles.
We oversee and regulate entities within the capital markets cluster, including collective investment schemes. This is done under various legislations, such as the Financial Institutions (Investment of Funds) Act of 1984, the Unit Trusts Control Act of 1981, Regulation 13 of the Pension Funds Act of 1956, and the Stock Exchange Control Act of 1985.
What We Do
Our Objective
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Conditions of Asset Managers Stock Exchanges Control – Act 1985 |
February 29, 2016 | 319.27 KB | Download |
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Financial Institutions Investment of Funds – Act 39 of 1984 |
April 11, 1984 | 91.09 KB | Download |
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Financial Institutions Markets – Act 2 of 2021 |
October 1, 2021 | 1.68 MB | Download |
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Financial Intelligence – Act 2012 Regulations |
January 28, 2015 | 388.34 KB | Download |
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Gazetted CSD Conditions – 7864 Gov N213 |
July 28, 2022 | 468.45 KB | Download |
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Inspection of Financial Institutions – Act 38 of 1984 |
April 5, 2017 | 101.67 KB | Download |
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Pension Funds Regulations |
August 31, 2018 | 638.70 KB | Download |
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Stock Exchanges Control – Act 1 of 1985 |
March 31, 2017 | 243.55 KB | Download |
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Unit Trust Control – Act 54 of 1981 |
September 7, 2023 | 214.81 KB | Download |
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Unit Trust Regulations – Dec 14 5637 Gov N256 |
December 24, 2014 | 170.09 KB | Download |
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Circular Portfolio Compositions and Co-investment Statement |
April 5, 2024 | 168.32 KB | Download |
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Circular Portfolio Compositions and Co-investment Statement |
April 12, 2024 | 238.03 KB | Download |
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Directive on Conflict of Interest |
December 8, 2014 | 165.69 KB | Download |
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Directive Portfolio Composition 2015 |
March 17, 2015 | 90.15 KB | Download |
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Legal Worksheet |
March 27, 2024 | 261.20 KB | Download |
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Legal Worksheet Register |
March 27, 2024 | 121.00 KB | Download |
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OCOA Upgrade Circular |
March 27, 2024 | 189.69 KB | Download |
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OCOA Upgrade Circular |
March 27, 2024 | 170.15 KB | Download |
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Routing |
April 4, 2024 | 255.22 KB | Download |
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Routing Slip |
May 15, 2024 | 435.65 KB | Download |
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Routing Slip Portfolio Holdings |
April 15, 2024 | 178.44 KB | Download |
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SLC Review Circular |
May 13, 2024 | 134.08 KB | Download |
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SLC Review Circular |
May 13, 2024 | 165.60 KB | Download |
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SLC Review MEMO – Revised-f |
February 28, 2024 | 365.83 KB | Download |
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UAT Sign off ERS V3 Inc 20 – Capital Markets |
January 22, 2024 | 586.63 KB | Download |
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Capital Markets – CIS |
March 28, 2017 | 5.74 MB | Download |
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Circular – Conditions for Investment Managers |
March 24, 2016 | 72.36 KB | Download |
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Circular Applicants |
April 13, 2017 | 80.02 KB | Download |
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Circular on Linked Investment Service Providers |
April 20, 2016 | 102.03 KB | Download |
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Circular on Submission |
February 13, 2012 | 59.64 KB | Download |
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Circular on Submission of Statutory Returns |
April 16, 2002 | 60.15 KB | Download |
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Conditions for Investment Managers – Government Notice |
February 5, 2016 | 322.64 KB | Download |
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ERS – Upload and Updates |
January 10, 2012 | 44.95 KB | Download |
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Exchange Control – Circular No_11_03 |
April 5, 2011 | 50.85 KB | Download |
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Guide to Supervisory Ladder |
February 14, 2014 | 358.41 KB | Download |
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Pension Funds Compliance with Regulations – 28_29_vis_a_vis_Unlisted Investments |
January 6, 2014 | 193.78 KB | Download |
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Public Notice – FIA Requirements |
January 30, 2014 | 116.70 KB | Download |
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Regulatory-and-Supervisory-reform-industry-release |
February 23, 2017 | 1.17 MB | Download |