Seychelles

• A cover letter signed by the applicant or the agent of the applicant
• A completed Application Form
• The relevant application fee
• Certified true copies of the constitutional documents of the applicant
• Personal Questionnaire Forms completed by each Director, Securities dealer representative applicants, compliance officer and key individuals of the application (if the relevant party is listed on a stock exchange in a recognised jurisdiction, Personal Questionnaire Forms are not required)
• Questionnaire Form for Shareholders and Beneficial Owners completed by each shareholder and beneficial owner that hold no management position in the proposed Securities Dealer
• Audited Financial Statements of the applicant for the past 2 years except in the case of an applicant who was incorporated within the last 12 months
• The last Audited Financial Statements of the controlling owners of the applicant if the controlling owner is a non-individual
• Proof of source of funds or wealth
• Proof of Physical Place of Office (Title Deed of Premises or Lease Agreement for premises or Sub Leasing Agreement and consent letter from the owner of the premises stipulating that the lessee can sublease)
• The Representative Licence Application Form completed by each prospective representative
• Notice of place at which the Register of Securities is to be kept as per Section 80(2)(a) of the Securities Act, 2007 and Schedule 1, Form 6 of the Securities (Forms and Fees) Regulations, 2008
• A written notification from the representative in accordance with section 53 of the Securities Act, 2007
• A copy of the insurance quotation (appropriate to the proposed nature and size of the business) of the applicant
• A detailed Business Plan
• Internal Operations Manual
• Client Service Agreement or Terms of Business
• Conflict of Interest Policy
• Compliance Manual
• Anti – Money Laundering Manual
• Complaints Handling Manual
• Business Continuity Plan

Tuendi will take care of the above documentation and provide any documents required to facilitate the application process and subsequent requests by the FSA.