Who’s Who in the Securities Market

Entities that  engage in activities specified within the respective legislation that govern the TTSEC and the CBTT are required to be duly registered with the relevant  regulator/s. Investment activities that fall under the remit of the TTSEC may be undertaken by: Self-Regulatory Organisations, Broker-Dealers, Investment Advisers, Underwriters, Sponsored Broker-Dealers, Sponsored Investment Advisers and Registered Representatives. Figure 1 below shows the TTSEC’s main categories of registration and the numbers registered within each category, as at 31st December, 2019. It should be noted that a person or entity registered under the respective category, is required to comply with  the provisions of the Securities Act, 2012 (SA 2012).


Who’s who in the Securities Market

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