Izinhlobo zelayisense
Izinkampani zokutshala imali
Ukuhweba, ukuhweba, ukulawula i-portfolio kanye nosizo ngaphansi komthetho wezimpahla. Kuqhathaniswa phakathi kwezimo ezingu-61. Amafayela akhombisa amaphesenti aphansi omthetho kusuka kunoma yimuphi umphathi; izimfuneko zemali ebonakalayo zivame ukuba phezulu.
| Umthethosivivinywa | Ilayisense | Imali encane | Isikhathi | Ingozi |
|---|---|---|---|---|
| Austria Europe (EU) | Ilayisense lenkampani yokutshala imali (Wertpapierfirma); ilayisensi elula ye Wertpapierdienstleistungsunternehmen ngaphansi kwe MiFID II Art. 3 exemption FMA | EUR 75,000 | FMA informs the applicant within six months of a complete application (WAG 2018 s. 3) | Iphutha |
| Belgium Europe (EU) | Ukugunyazwa njengenkampani yokuhweba ngezimali (beursvennootschap / société de bourse) noma njengenkampani yokulawula iphothifoliyo nokucebisa ngokutshala imali NBB (izinkampani zokuhweba ngezimali, ngemuva kosizo lweFSMA); FSMA (izinkampani zokulawula iphothifoliyo nokucebisa ngokutshala imali) | EUR 75,000 | MiFID II isiq. 7(3): isigqibo ngaphakathi kwezinyanga ezingu-6 ngemuva kokufaka isicelo esigcwele | Iphutha |
| I-Cyprus Europe (EU) | Igunya le-Cyprus Investment Firm (CIF) CySEC | EUR 75,000 | MiFID II isithombe 7(3): decision within six months of a complete application | Iphutha |
| Estonia Europe (EU) | Ukugunyazwa kwenkampani yokutshala imali Finantsinspektsioon | EUR 75,000 | Usinqumo ngaphakathi 2 kwezinyanga zolwazi oludingekayo kanye namadokhumende, futhi kungadlulanga 6 izinyanga ngemuva kokufaka isicelo | Iphutha |
| France Europe (EU) | Agrément njengenkampani yokutshala imali (entreprise d'investissement) ACPR, ne-AMF ebheka kabusha iphrojekthi yokusebenza yezinsizakalo zokutshala imali ezithintekayo | EUR 75,000 | inyanga engu-6 kusukela ifayela liqediwe; inyanga engu-4 uma kudingeka ukudluliswa kwezinsizakalo (ACPR) | Iphutha |
| Germany Europe (EU) | Ilayisense lenkampani yokutshala imali (Wertpapierinstitut) BaFin | EUR 75,000 | Akushicilelwe | Iphutha |
| Ireland Europe (EU) | Igunya lenkampani yokutshala imali ye-MiFID Ibhange Eliphakathi lase-Ireland | EUR 75,000 | Ukucaciswa ngaphakathi kwezinyanga ezingu-6 zokuthola isicelo esigcwele | Iphutha |
| Italy Europe (EU) | Ukugunyazwa kwenkampani yokutshala imali (SIM) (MiFID II) CONSOB ngemuva kokuxoxisana neBanca d'Italia | EUR 75,000 | I-CONSOB ithatha isigqibo ngaphakathi kwezinyanga ezingu-6 ngemuva kokufaka isicelo esigcwele (isigaba 19(1) seTUF) | Iphutha |
| Lithuania Europe (EU) | Ilayisense lenkampani yokubeka imali (inkampani yokutshala imali) Ibhange laseLithuania | EUR 75,000 | MiFID II isiq. 7(3): isigqibo ngaphakathi kwezinyanga ezingu-6 ngemuva kokufaka isicelo esigcwele | Iphutha |
| i-Luxembourg i-Europe (EU) | Inkampani yokutshala imali (MiFID II) CSSF | EUR 75,000 | Usinqumo sithunyelwe ngaphakathi kwezinyanga ezingu-6 ngemuva kokufaka isicelo esigcwele; isikhathi sokuphelelwa yisikhathi siyizinsuku eziyi-12, ukunyamalala kulingana nokwenqaba | Iphutha |
| i-Malta i-Europe (EU) | Ilayisense lezinsizakalo zokutshala imali (inkampani yokutshala imali ye-MiFID) MFSA | EUR 75,000 | MiFID II isithombe 7(3): decision within six months of a complete application | Iphutha |
| Netherlands Europe (EU) | Ilayisense lenkampani yokutshala imali (MiFID II) AFM (ukulawula okuqinile kweDNB) | EUR 75,000 | Akushicilelwe | Iphutha |
| Poland Europe (EU) | Ugunyazo lokuphatha imisebenzi ye-brokerage njengekhaya le-brokerage (dom maklerski) KNF | EUR 150,000 | MiFID II isiq. 7(3): isigqibo ngaphakathi kwezinyanga ezingu-6 zokufaka isicelo esigcwele; akukho isikhathi sokuphelelwa yisikhathi esisodwa sePoland esiqinisekisiwe | Iphutha |
| i-Portugal i-Europe (EU) | Ukugunyazwa kwenkampani yokutshala imali (MiFID II) CMVM (ubhaliso lwabaphakathi nendawo bezimali); ukunikezelwa kwesinqumo sokugunyazwa akuqinisekisiwe | EUR 75,000 | Akushicilelwe | Iphutha |
| Spain Europe (EU) | Igunya lenkampani yokutshala imali i-CNMV | EUR 75,000 | Usinqumo ngaphakathi kwezinyanga ezingu-6 zokuthola noma ukuqedwa kwefayela; ukuthula kungabhekwa njengokwenqaba (Imithetho 6/2023 isigaba 131(1) | Iphutha |
| Gibraltar Europe (non-EU) | Inkampani yokutshala imali (Ingxenye 7 imvume) GFSC | GBP 75,000 | Akushicilelwe | Iphutha |
| Guernsey Europe (non-EU) | Ilayisense ngaphansi koMthetho Wokuvikela Abatshalizimali GFSC | Not published | Akushicilelwe | Iphutha |
| Isle of Man Europe (non-EU) | Ilayisense yebhizinisi lokutshala imali lesigaba 2 IOMFSA | Not published | IOMFSA service standard of 6 months from a complete application; longer if incomplete or issues arise | Iphutha |
| Jersey Europe (non-EU) | Ukubhaliswa ukuphatha ibhizinisi lokutshala imali JFSC | Not published | Akushicilelwe | Iphutha |
| Liechtenstein Europe (non-EU) | Ukugunyazwa kwenkampani yokutshala imali (Zulassung als Wertpapierfirma); ilayisense lenkampani yokulawula izimpahla ngaphansi kwe-VVG yezinkampani zokuqondisa nokuphatha iziqukathi ezingagcinanga izimpahla zekhasimende FMA Liechtenstein | EUR 75,000 | FMA decides at the latest six months after receipt of the complete application (WPFG Art. 6(5)) | Iphutha |
| Monaco Europe (non-EU) | I-CCAF agrément yemisebenzi yezimali (ukulawula i-portfolio, usizo, ukuqashwa nokudluliswa kwezincomo, ukugcinwa, indawo yokusebenzela yabantu abaningi) CCAF | EUR 150,000 | IKomidi lithatha isigqibo ngaphakathi kwezinyanga ezingu-6 zokuthola ifayela eliphelele | Ingozi ephezulu |
| Switzerland Europe (non-EU) | Ilayisense lenkampani yezezimali FINMA | CHF 1,500,000 | Akushicilelwe | Iphutha |
| United Kingdom Europe (non-EU) | Inkampani yokutshala imali ye-MiFID (Ingxenye 4A imvume) FCA | GBP 75,000 | Izinsuku zokuphelelwa yisikhathi zeFSMA Part 4A: 6 amasonto kusuka kusicelo esiphelele, 12 amasonto kusukela kusicelo esingaphelelanga (njengoba kuchazwe ngezinhlelo zebhange yi-Bank of England) | Iphutha |
| i-Bahrain i-Middle East | Ilayisense lenkampani yokutshala imali (Isigaba 1 kuya ku-4) Ibhange Eliphakathi laseBahrain | BHD 25,000 | Akushicilelwe | Iphutha |
| i-Qatar (QFC) i-Middle East | Igunya le-QFC njengomthengisi wezimali (ukuhweba ngezimali njengesikhulu) Inhlangano Yokulawulwa kwe-QFC | QAR 7,000,000 | Akushicilelwe | Iphutha |
| i-Qatar (QFC) i-Middle East | Igunya le-QFC njengenkampani ye-INMA (ukulawula ukutshala imali, ukubonisana, ukulungiselela, ukugcinwa, ukuphathwa kwenhlangano) Igunya lokulawulwa kwe-QFC | QAR 900,000 | Akushicilelwe | Iphutha |
| United Arab Emirates (onshore) Middle East | Ilayisense yemisebenzi yezezimali (ukuhweba, ukuhweba ngemali, ukunakekelwa, insizakalo, ukuphathwa kwe-portfolio nokunye okufanayo) Igunya lemakethe yamabhange (iSCA yangaphambilini) | Not published | Akushicilelwe | Iphutha |
| United Arab Emirates: Abu Dhabi Global Market (ADGM) Mid East | Izivumelwano zezinsizakalo zezimali zokuhweba ngokutshala imali njengoMqondisi noma ukuhlinzeka ngemali (Isigaba 2) FSRA | USD 2,000,000 | Akushicilelwe | Iphutha |
| United Arab Emirates: Abu Dhabi Global Market (ADGM) Mid East | Izivumelwano zezinsizakalo zezimali zokuhweba ngezinkokhelo njenge-Agent noma njenge-Mated Principal (Isigaba 3A) FSRA | USD 500,000 | Akushicilelwe | Iphutha |
| United Arab Emirates: Abu Dhabi Global Market (ADGM) Mid East | Izivumelwano zezinsizakalo zezimali zokuphatha izimpahla noma ukuphatha i-Collective Investment Fund (Isigaba 3C) FSRA | USD 250,000 | Akushicilelwe | Iphutha |
| United Arab Emirates: Dubai International Financial Centre (DIFC) Middle East | Ilayisense lokuhweba ngezinkokhelo njengoMqondisi noma ukuhlinzeka ngekheshi (Isigaba 2) DFSA | USD 2,000,000 | Akushicilelwe | Iphutha |
| United Arab Emirates: Dubai International Financial Centre (DIFC) Middle East | Ilayisense lokuhweba ngezimali njenge-Agent noma ukuphatha indlela yokuhweba ehlukile (Isigaba 3A) DFSA | USD 200,000 | Akushicilelwe | Iphutha |
| United Arab Emirates: Dubai International Financial Centre (DIFC) Middle East | Ilayisense lokuphatha izimpahla noma ukuphathwa kwezimali zokutshala imali (Isigaba 3C) DFSA | USD 140,000 | Akushicilelwe | Iphutha |
| i-Australia i-Pacific | Ilayisense yezinsizakalo zezimali zase-Australia (ukuhweba, insizakalo, ukugcinwa, amaphrojekthi okutshala imali alawulwa) I-ASIC | AUD 50,000 | Akushicilelwe | Iphutha |
| i-Hong Kong i-Pacific | SFC ilayisense yemisebenzi elawulwa ngohlobo 1 (ukuhweba ngezimali) SFC | HKD 5,000,000 | SFC ithi cishe amaviki angama-15 ngesicelo senkampani enelayisense | Iphutha |
| Japan Asia-Pacific | Ukubhaliswa kwebhizinisi lezinto zezimali (uhlobo I nokulawula ukutshala imali) FSA (nge-Finance Bureau yasendaweni) | JPY 50,000,000 | Akushicilelwe | Iphutha |
| Labuan (Malaysia) Asia-Pacific | Ilayisense leLabuan securities Labuan FSA | MYR 150,000 | Akushicilelwe | Iphutha |
| i-New Zealand i-Pacific | Ilayisense yezinsizakalo zemakethe ze-FMA: izinsizakalo zokulawula ukutshala imali ngokuzikhethela (DIMS) kanye nomphathi FMA | Not published | Akushicilelwe | Iphutha |
| i-Philippines i-Pacific | Ilayisense lommeli-umdayisi SEC | Not published | Akushicilelwe | Iphutha |
| i-Singapore i-Pacific | Ilayisense yezinsizakalo zemakethe yamasheya (CMS), ukuhweba ngemikhiqizo yemakethe yamasheya nezinye izinhlelo ezilawulwa MAS | SGD 50,000 | MAS ilindele kuze kube yinyanga ezingu-6 ukubuyekeza isicelo esiphelele; abanikazi be-IPA bese banesinyanga esingu-6 ukuhlangabezana nezimo | Iphutha |
| South Korea Asia-Pacific | Ukugunyazwa noma ukubhaliswa kwebhizinisi lokutshala imali yezimali (umthengisi wokutshala imali, ummeli, utshalomali oluhlangene, usizo) FSC | Not published | Akushicilelwe | Iphutha |
| i-Antigua ne Barbuda i-Amerika ne-Caribbean | Ilayisense le-broker-dealer, i-custodian noma umcebisi wezimali (ECSRC) Eastern Caribbean Securities Regulatory Commission | Not published | Akushicilelwe | Iphutha |
| i-Argentina i-Amerika ne-Caribbean | Ukubhaliswa njenge-clearing and settlement agent noma trading agent I-National Securities | Not published | Akushicilelwe | Iphutha |
| i-Bahamas i-Amerika ne-Caribbean | Ukubhaliswa njengenkampani yezimali eziqinisekisiwe (ukuhweba, ukuhlela, ukulawula, ukucebisa; ukuhweba nge-CFD) IKomidi lezimali eziqinisekisiwe lase-Bahamas | Not published | Akushicilelwe | Iphutha |
| i-Barbados i-Amerika ne-Caribbean | Ukubhaliswa njengomthengisi, umhwebi, umcebisi wezimali, umhwebi, umshicileli noma inkampani yezezimali I-Financial Services Commission | Not published | Akushicilelwe | Iphutha |
| i-Bermuda i-Amerika ne-Caribbean | Ilayisense lebhizinisi lokutshala imali noma umuntu obhalisiwe wesigaba A / isigaba B Igunya lemali laseBermuda | Not published | Akushicilelwe | Iphutha |
| i-Bolivia i-Amerika ne-Caribbean | I-securities broker-dealer I-Financial Supervision Authority | Not published | Akushicilelwe | Ingozi ephezulu |
| Brazil Americas & Caribbean | I-Sociedade corretora de títulos e valores mobiliários (CTVM) noma i-sociedade distribuidora de títulos e valores mobiliários (DTVM) (i-securities broker or distributor) Banco Central do Brasil (authorisation); Comissão de Valores Mobiliários (conduct rules for intermediaries) | BRL 8,000,000 | Akushicilelwe | Iphutha |
| i-British Virgin Islands i-Amerika ne-Caribbean | Ilayisense lebhizinisi lokutshala imali IKomidi Lezinsizakalo Zezimali | Not published | Akushicilelwe | Ingozi ephezulu |
| Canada Americas & Caribbean | Ukubhaliswa komthengisi wezimpahla, umcebisi (umphathi we-portfolio) noma umphathi wezimali zokutshala imali Izinhlangano ezilawula izimali zokutshala imali zesifunda kanye nesifundazwe; abahlinzeki bezimpahla zokutshala imali nabathengisi bemali yokutshala imali kumele babe ngamalungu eCIRO | CAD 25,000 | Akushicilelwe | Iphutha |
| i-Cayman Islands i-Amerika ne-Caribbean | Ilayisense yebhizinisi lokutshala imali ezindaweni zokugcina impahla (nesimo somuntu obhalisiwe) I-Cayman Islands Monetary Authority | KYD 100,000 | Akushicilelwe | Iphutha |
| Chile Ama-America namaCaribbean | Izinsizakalo ze-Ley Fintec: iphrojekthi yokuqoqa imali, uhlelo lokuhweba oluhlukile, ukuqondiswa kwezicelo, usizo lokutshala imali kanye nosizo lwezimali I-Commission on Financial Markets | Not published | Usinqumo sokubhaliswa ngaphakathi kwezinsuku zebhizinisi ezingu-30 (isiqephu 6); ukugunyazwa komsebenzi ngaphakathi kwezinyanga eziyisithupha (isiqephu 7) | Iphutha |
| Chile Ama-America namaCaribbean | Ubhaliso lwe-securities broker-dealer I-Commission on Financial Markets | CLF 6,000 | I-CMF ilawula ukubhaliswa ngaphakathi kwezinsuku ezingu-30 zokufaka isicelo; isikhashana sihlala lapho i-CMF icela ulwazi oluningi (isiqephu 28) | Iphutha |
| i-Curacao i-Amerika ne-Caribbean | Ilayisense yomphathi wezimali kanye/noma umphathi wezimpahla (effectenbemiddelaar / vermogensbeheerder) i-Curacao | Not published | I-CBCS ithatha isigqibo ngaphakathi kwezinsuku ezingu-60 | Iphutha |
| i-Dominica i-Amerika ne-Caribbean | I-broker-dealer, i-broker yezinsizakalo ezilinganiselwe, umcebisi wokutshala imali kanye nelayisense yokugcina Eastern Caribbean Securities Regulatory Commission | Not published | Akushicilelwe | Iphutha |
| Mexico Americas & Caribbean | Institución de financiamiento colectivo (IFC, inhlangano yokuxhasa ngemali) Comisión Nacional Bancaria y de Valores, ngovume ye-Comité Interinstitucional | MXV 500,000 | Usinqumo ngaphakathi kwezinsuku ezingu-180 lapho iKomiti Eliphakathi Kwezinhlangano lizovuma khona (Ley Fintech art. 6) | Iphutha |
| Mexico Americas & Caribbean | Ukugunyazwa komthengisi wezimali I-National Banking and Securities Commission | MXV 3,000,000 | Akushicilelwe | Iphutha |
| Panama Americas & Caribbean | Ilayisense lomthengisi-ummeli; ilayisense lomcebisi wokutshala imali Imakethe yamasheya | Not published | Akushicilelwe | Iphutha |
| i-Mauritius i-Afrika | Ilayisense yomthengisi wezimali (umthengisi ohlinzeka ngezinsizakalo ezigcwele, kufaka phakathi noma ngaphandle kokufaka isandla, ummeli, ummeli wediphozithi) IKomidi Lezisebenzi Zomnotho | Not published | Akushicilelwe | Iphutha |
| Seychelles Afrika | Ilayisense yomthengisi wezimali I-Financial Services Authority | USD 50,000 | Akushicilelwe | Iphutha |
| i-Afrika yaseMpumalanga i-Afrika | Ilayisense yomhlinzeki wezinsizakalo zezezimali (FSP) Inhlangano Yokuphatha Isimo Sezezimali | Not published | Akushicilelwe | Iphutha |
Izinsiza kusebenza zidweliswe kukhasi ngalinye lezomthetho. Ulwazi kuphela, hhayi incazelo yomthetho.