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Investment Dealer

A person shall hold an Investment Dealer Licence or being licensed as a representative of an Investment Dealer by the Financial Services Commission (“FSC”) to:

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  • Act or hold himself out as an intermediary in the execution of securities transaction on behalf of other persons;

  • Trade or hold himself out to trade in securities as principal for his own account with the intension of selling them to the public; or

  • Underwrite or distribute or hold himself out to underwrite or distribute securities on behalf of an issuer or a holder of securitie

 

No person other than a body corporate may apply for an Investment dealer Licence.

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