Financial Markets Act, 2012 (Act No. 19 of 2012)

Regulations

Financial Markets Act Regulations

Schedule A

Operational Risk (as set out in Regulation 25)

Table 25(A)
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Schedule A

 

Operational Risk (as set out in Regulation 25)

 

Table 25(A)

 

Business line

List of activities

Trading and sales
•Dealing on own account
•Money broking
•Reception and transmission of orders in relation to one or more securities
•Execution of orders on behalf of clients
•Placing of securities without a firm commitment basis
•Operation of exchanges and trading venues

Payment and settlement
•Money transmission services
•Issuing and administering means of payment

Agency services
•Safekeeping and administration of securities for the account of clients, including custodianship and related services such as cash/collateral management

Asset management
•Portfolio management
•Managing of Collective investment schemes
•Other forms of asset management