Getting Authorised
Authorisation Process
Firms wishing to conduct regulated activities must obtain authorisation from the Securities Exchange and Investment Protection Commission (SEIPC). The authorisation process is designed to ensure that only firms that meet our standards are permitted to operate.
Application Process
Pre-Application
Before submitting an application, we recommend that you review our regulatory framework and requirements to ensure that your firm can meet our standards.
Submit Application
Complete and submit the appropriate application form along with all required supporting documents and the application fee.
Assessment
The SEIPC will assess your application to determine if your firm meets our regulatory requirements. This may involve meetings with key personnel and requests for additional information.
Decision
The SEIPC will make a decision on your application and notify you of the outcome. If approved, you will be issued with an authorisation certificate.
Post-Authorisation
Once authorised, your firm will be subject to ongoing supervision by the SEIPC to ensure continued compliance with regulatory requirements.
Application Requirements
The specific requirements for authorisation depend on the type of regulated activity your firm wishes to conduct. However, all firms must demonstrate:
- Financial soundness
- Competence and capability
- Honesty, integrity, and reputation
- Adequate systems and controls
- Compliance with all relevant regulations
Fees
Application fees vary depending on the type of regulated activity. Please refer to our fee schedule for detailed information.
View Fee ScheduleContact Us
If you have any questions about the authorisation process, please contact our Authorisations Team.
Email: authorisations@seipc.org
Phone: +123 456 7890
Hours: Monday to Friday, 9am to 5pm