Intermediary registration applications require verified ownership, governance, financial, regulatory, and litigation disclosures, supported by declarations of ongoing compliance. Applications for an intermediary certificate must be complete, typed, filed with applicable fees and notarially attested supporting documents, with ... Summary
Intermediary registration applications require verified ownership, governance, financial, regulatory, and litigation disclosures, supported by declarations of ongoing compliance.
Applications for an intermediary certificate must be complete, typed, filed with applicable fees and notarially attested supporting documents, with original signatures and initials of the authorised signatory on every page. Applicants must disclose ownership and control, affiliates, registrations, management, financial position, tax details, regulatory action, material litigation, investor complaints and show-cause notices. They must declare that supplied information is true and accurate, fulfil applicable certificate-grant conditions, promptly notify changes, and comply with applicable legal requirements and operational directions.
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