Financial Markets Act 19 of 2012 & Rules and Regulations 3e

• Key Addresses
• Quick Finder for Key Topics
• Financial Markets Act 19 of 2012
  • PENDLEX: Act 9 of 2017
• Rules and Regulations
  • Rules of Strate Limited, 1999
  • Code of Conduct for authorised users, 2005
  • Equities Rules, 2005
  • Requirements imposed by the Financial Services Board for nominees to operate in South Africa, 2007
  • Application for approval of the acquisition or the holding of shares or any other interest in a market infrastructure, 2013
  • Conditions applicable to the demutualisation of an exchange, central securities depository or independent clearing house, 2013
  • Conditions applicable to the inclusion by an exchange of securities issued by it in its own list, 2013
  • Accounting records to be maintained by a regulated person, 2013
  • Determination of fit and proper requirements for market infrastructures, 2013
  • Penalties to be imposed by the registrar, 2013
  • Matters to be reported on by auditor of a regulated person, 2013
  • Report by a market infrastructure to the registrar, 2013
  • Conditions applicable to the amalgamation, merger, transfer or disposal of market infrastructures, 2013
  • Requirements applicable to the granting of a market infrastructure licence, 2013
  • Directive and Guideline 1 of 2014: Directive and Guideline regarding infrastructures provided by companies facilitating trading in their own securities
  • Notice regarding conflicts of interest
  • Prescribed Fees, 2015
  • Reporting of transactions to the Registrar
  • Financial Markets Act Regulations

• Auditors and accounting professionals
• Bankers
• Authorised security users
• Financial institutions
• Brokers and inter-dealer brokers
• Financial professionals and service providers
• Stockbrokers & security traders

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