LICENSES
Investment Dealer / Broker House
Under the Securities Act 2005 and its related regulations, companies can establish and obtain licences as Investment Dealers in Mauritius. This structure is particularly suitable for brokerage firms operating internationally. Mauritius benefits from a modern and flexible securities regulatory framework that provides clear licensing procedures within a reasonable timeframe, requires moderate minimum capital, charges competitive licence fees, and maintains a relatively low tax rate. These advantages make Mauritius an attractive jurisdiction for brokerage houses seeking cost efficiency while benefiting from a strong network of professional service providers.
Under the Securities Act, there are five main categories of Investment Dealers:
1A. Full Service Dealer (including Underwriting)
Authorised to:
- Act as an intermediary in executing securities transactions for clients.
- Trade in securities as principal with the intention of reselling them to the public.
- Underwrite or distribute securities on behalf of an issuer or holder of securities (where applicable).
- Provide investment advice that is incidental to normal business activities.
- Manage client investment portfolios.
1B. Full Service Dealer (excluding Underwriting)
Authorised to:
- Act as an intermediary in executing securities transactions for clients.
- Trade in securities as principal with the intention of reselling them to the public.
- Provide investment advice that is incidental to normal business activities.
- Manage client investment portfolios.
2. Discount Broker
Authorised to execute client orders without providing investment advice.
3. Broker
Authorised to execute client orders, manage client portfolios, and provide advice regarding securities transactions.
4. Investment Dealer (Commodity Derivatives Segment)
Authorised to operate as a broker specifically for commodity derivatives.
5. Investment Dealer (Currency Derivatives Segment)
Authorised to operate as a broker specifically for currency derivatives.
FINANCIAL STATEMENTS FILING
All categories must submit audited financial statements within three months after the end of the financial year.
STAFF QUALIFICATIONS
Employees must possess the relevant qualifications and experience as required under the Securities Act.
MINIMUM CAPITAL REQUIREMENT
Each category of Investment Dealer must maintain the minimum capital requirement specified for its licence category.
Our services for Investment Dealers:
We offer the following services related to Investment Dealer activities:
- Advisory and formation of Investment Dealer companies.
- Assistance with licence applications and licence renewals.
- Provision of a registered office address.
- Appointment of professional directors and a qualified secretary resident in Mauritius.
- Bank account opening assistance.
- Preparation of quarterly accounts and submission to authorities.
- Preparation and filing of tax returns.
Countries We Serve
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