CmaBylaw
Executive Bylaws
1-2 Securities Activities Of Module Five: Securities Activities and Registered Persons
Section: Chapter One: Securities Activities
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Sunday, 05 February 2017
The following are included within the realm of Securities Activities: 1. Security Exchange. 2. Clearing Agency. 3. Investment Portfolio manager. 4. Collective Investment Scheme manager. 5. Investment Advisor. 6. Subscription Agent. 7. Custodian. 8. Market Maker. 9. Securities Broker registered in the Securities Exchange. 10. Securities Broker not registered in the Securities Exchange. 11. Investment Controller. 12. Credit Rating Agency. 13. Valuation of Assets. 14. Qualified Securities Broker registered with an Exchange. 15. Any other activities which the Authority may specify.
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