The checklists contained in this website reflect a summary of application requirements for various categories of applications that can be made with the Authority for approval to operate as a market intermediary, approved institution or issuer of securities within the Kenyan capital market.
It is important to note that:
1. The checklists are derived from the statutory requirements as set out in the relevant Regulations issued under the Capital Markets Act and are intended only as a simplified guide. Applicants are advised to read and understand the statutory requirements detailed in the relevant Regulations. The Regulations are the only conclusive statement on application requirements and can be accessed in the Regulations section of this website.
2. The Authority reserves the right to request for any additional information that may be deemed necessary during the course of review of an application.
|Coffee Exchange Checklist||23-08-2023||DownloadPreview|
|Commodity Exchange Checklist||23-08-2023||DownloadPreview|
|Commodity Brokers Checklist||23-08-2023||DownloadPreview|
|ONLINE FOREX BROKERS||23-08-2023||DownloadPreview|
|Coffee Brokers Checklist1||23-08-2023||DownloadPreview|
|Money Manager Checklist||23-08-2023||DownloadPreview|
|AUTHORIZED DEPOSITORIES CHECKLIST||23-08-2023||DownloadPreview|
|SECURITIES EXCHANGE CHECKLIST||23-08-2023||DownloadPreview|
|REIT MANAGER CHECKLIST||23-08-2023||DownloadPreview|
|INVESTMENT BANK CHECKLIST||23-08-2023||DownloadPreview|
|REGISTERED VENTURE CAPITAL CHECKLIST||23-08-2023||DownloadPreview|
|INVESTMENT ADVISERS CHECKLIST||23-08-2023||DownloadPreview|
|FUND MANAGERS CHECKLIST||23-08-2023||DownloadPreview|
|CREDIT RATING AGENCY CHECKLIST||23-08-2023||DownloadPreview|
|AUTHORISED SECURITIES DEALER LICESNSE - Checklist||23-08-2023||DownloadPreview|