Investment Dealer
Investment Dealer
There are 4 types of Investment Dealer Licences in Mauritius.
1. Investment Dealer (Full-Service Dealer including Underwriting)
An Investment Dealer (Full-Service Dealer including Underwriting) can conduct the following activities:
- Act as an intermediary to buy and sell securities
- Trade in securities and resell the securities to the public
- Give investment advice related to his business activities
- Manage clients' portfolios
- Underwriting
2. Investment Dealer (Full-Service Dealer excluding Underwriting)
An Investment Dealer (Full-Service Dealer excluding Underwriting) can conduct the following activities:
- Act as an intermediary to buy and sell securities
- Trade in securities and resell the securities to the public
- Give investment advice related to his business activities
- Manage clients' portfolios
However, underwriting is not permissible.
3. Investment Dealer (Broker)
An Investment Dealer (Broker) is authorised to:
- Execute orders for clients
- Manage portfolios of clients
- Give investment advice on securities transactions to clients
4. Investment Dealer (Discount Broker)
An Investment Dealer (Discount Broker) is only authorised to execute orders for clients. It cannot give investment advice.
AAcapital can assist you with your application for an Investment Dealer Licence. Request a free, no obligation quote.
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