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)

Purchase cart Previous page Return to chapter overview Next page

 

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