Investment Dealer License
Requirements & Guidelines
Understanding the requirements for obtaining a Mauritius Investment Dealer License under the Financial Services Commission (FSC) regulatory framework.
Complete Requirements Overview
Understanding all requirements for obtaining a Mauritius Investment Dealer License under FSC regulation, including capital, documentation, and compliance standards.
Capital Requirements
Minimum regulatory capital varying from MUR 500,000 to MUR 10 million based on license category.
Documentation
Comprehensive documentation including business plans, compliance manuals, and financial statements.
Key Personnel
Qualified directors and key personnel with relevant experience and regulatory fitness.
Regulatory Capital Requirements
Minimum regulatory capital requirements vary between different license categories and subcategories. Capital must be maintained throughout the license period.
Investment Dealer Categories
Trading and intermediary services with varying capital requirements
Investment Dealer - Full Service, Including Underwriting
Complete trading services with underwriting capabilities
Investment Dealer - Full Service, Excluding Underwriting
Full trading services without underwriting
Investment Dealer - Broker
Order execution, portfolio management, and advisory services
Investment Dealer - Discount Broker
Execution-only services without advisory functions
Investment Adviser Categories
Advisory and portfolio management with lower capital requirements
Investment Adviser - Corporate Finance Advisory
Corporate finance advisory for securities transactions
Investment Adviser - Unrestricted
Full advisory and portfolio management services
Investment Adviser - Restricted
Advisory services through printed materials only
Important Capital Requirements Notes
Minimum Capital
Must be maintained at all times during the license period and cannot fall below the minimum requirement.
Currency Requirements
Capital can be held in MUR or foreign currency equivalent, subject to FSC approval and exchange rate provisions.
Additional Capital
FSC may require additional capital based on business model, risk profile, and planned activities.
Capital Verification
Audited financial statements and bank confirmations required to verify capital adequacy.
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