Forms

Bourse Africa Ltd and Bourse Africa Clear Ltd Application Form and relevant documents.

Domestic Company

Documents to be submitted File format, if any
Application Form
Remittance of Admission Fees
Board Resolution
List of Directors
Details of
  • All the Directors of Applicant Company
  • Controllers
  • Company Secretary
  • Compliance Officer
  • Money Laundering Reporting Officer

to be accompanied by

  • Updated Bio-Data/CV
  • proof of Residence
  • certified true copy of passport

Latest Bank Reference Letter favouring

  • Applicant Company
  • All the Directors of Applicant Company
  • Controllers
  • Company Secretary
  • Compliance Officer
  • Money Laundering Reporting Officer
Letter should mention the account opening date and that the account has been maintained satisfactorily).
 
Shareholding Pattern
Authorised Signatory List. (Can be submitted on receipt of the Investment Dealer Licence(s))
Membership Undertaking
Certified True Copy of Constitution  
Certified True Copy of Certificate of Incorporation  
Copy of TAN Certificate  
Copy of VAT Certificate  
Copy of BRN Certificate  
Audited Financials duly certified by an Audit Firm and Annual Report, if any, for the past two years  
Copy of any other Licence(s) that the company may hold.  

Existing GBC-I Company

Documents to be submitted by an Existing GBC-I Company
Documents to be submitted File format, if any
Application Form
Remittance of Admission Fees  
Board Resolution
List of Directors
Details of
  • • All the Directors of Applicant Company
  • • Controllers
  • • Company Secretary
  • • Compliance Officer
  • • Money Laundering Reporting Officer
to be accompanied by
  • Updated Bio-Data/CV
  • proof of Residence
  • certified true copy of passport
certified true copy of passport
Latest Bank Reference Letter favouring
  • Applicant Company
  • All the Directors of Applicant Company
  • Controllers
  • Company Secretary
  • Compliance Officer
  • Money Laundering Reporting Officer
Letter should mention the account opening date and that the account has been maintained satisfactorily).
 
Shareholding Pattern
Authorised Signatory List. (Can be submitted on receipt of the Investment Dealer Licence(s))
Membership Undertaking
Certified True Copy of Constitution  
Certified True Copy of Certificate of Incorporation  
Audited Financials duly certified by an Audit Firm and Annual Report, if any, for the past two years  
Copy of any other Licence(s) that the company may hold.  

New GBC-I Company

Documents to be submitted File format, if any
Application Form
Remittance of Admission Fees  
List of Proposed Directors
Details of
  • All the Proposed Directors of the new company
  • Proposed Controllers
  • Proposed Compliance Officer
  • Proposed Money Laundering Reporting Officer
to be accompanied by
  • Updated Bio-Data/CV
  • proof of Residence
  • certified true copy of passport
Latest Bank Reference Letter favouring
  • All the Proposed Directors
  • Proposed Controllers
  • Proposed Compliance Officer
  • Proposed Money Laundering Reporting Officer
Letter should mention the account opening date and that the account has been maintained satisfactorily).
 
   
Proposed Shareholding Pattern

Remote Member/ Foreign Investment Dealer

Documents to be submitted File format, if any
Application Form
Remittance of Admission Fees  
Board Resolution
List of Directors
Details of
  • All the Directors of Applicant Company
  • Controllers
  • Company Secretary
  • Compliance Officer
  • Money Laundering Reporting Officer
to be accompanied by
  • Updated Bio-Data/CV
  • proof of Residence
  • certified true copy of passport

Latest Bank Reference Letter favouring

  • Applicant Company
  • All the Directors of Applicant Company
  • Controllers
  • Company Secretary
  • Compliance Officer
  • Money Laundering Reporting Officer
Letter should mention the account opening date and that the account has been maintained satisfactorily).
 
Shareholding Pattern
Authorised Signatory List. (Can be submitted on receipt of the Investment Dealer Licence(s))
Membership Undertaking
Certified True Copy of Constitution / Memorandum & Articles of Association  
Certified True Copy of Certificate of Incorporation  
Audited Financials duly certified by an Audit Firm and Annual Report, if any, for the past two years  
Copy of any other Licence(s) that the company may hold.  
Certified True Copy of the License(s) issued by the Regulator in country of Incorporation.  
Certified True Copy of the Membership Certificate issued by the Stock Exchange/ Commodity Exchange.  
Approval letter from Stock Exchange/ Regulator  
Copy of Agreement with Foreign Investment Dealer Agent  

FSC Application Form and Relevant Documents

Details File format, if any
Covering letter to FSC requesting for the Licence(s) should include the request for FSC’s approval with respect to the appointment of the Applicants Audit Firm pursuant to Section 55(2) of the Securities Act 2005.  
FSC Application Forms for Investment Dealers
(Domestic companies and Global Business Licence – Category I (GBL-I) companies)


FSC Application Forms for Foreign Investment Dealers
(Companies incorporated outside Mauritius)


FSC Fees for the respective Licence(s)/Authorisation(s)
Certified True Copy of the Board Resolution authorising two officers to sign the Application Form(s).  

Personal Questionnaire Form to be submitted by

  • all Directors,
  • individual shareholders and controllers
  • ultimate beneficial owners
  • Company Secretary
  • Compliance Officers &
  • MLRO
To be accompanied by
  • copy of the updated CV
  • copy of the Passport/ National Identity Card.
  • Proof of residence
Authority Letter under section 16(3) of the Financial Services Act 2007.
Bank Reference letter to be submitted by
  • all Directors,
  • individual shareholders and controllers
  • ultimate beneficial owners
  • Company Secretary
  • Compliance Officers &
  • MLRO
 
Details of any Licence(s)/ registrations which the Applicant holds.  
A brief Profile of the existing Business (for a company already incorporated).
Audited Financials duly certified by an Audit Firm and Annual Report, if any, for the past two years. (for company already incorporated)  
Copy of Constitution or Memorandum and Articles of Association of the Applicant company (for a company already incorporated)  
Copy of the Manual of Internal Control and compliance procedures that the Applicant would use after the issuance of the Licence(s)/ Authorisation(s).  
Copy of the established system and procedures to prevent conflict of interest, money laundering and financing of terrorism.  
Copy of the Personal Indemnity Insurance taken by the Applicant company. (applicable for domestic companies only)  
Additional documents for Remote Trading Members  
Certified True Copy of the License(s) issued by the Regulator in country of Incorporation.  
Certified True Copy of the Membership Certificate issued by the Stock Exchange/ Commodity Exchange.  
Approval letter from Stock Exchange/ Regulator  
Copy of Agreement with Foreign Investment Dealer Agent  

List of Forms

Form No Documents to be submitted File format, if any
1.

Suggest Format of Board Resolution

2. List of Directors
3. Details of
  • All the Directors of Applicant Company
  • Controllers
  • Company Secretary
  • Compliance Officer
  • Money Laundering Reporting Officer
  • Authorised Signatory(ies)
4. Shareholding Pattern
5. Application for Approval As Authorised User. (Can be submitted on receipt of the Investment Dealer Licence(s))
6. Authorised Signatory List. (Can be submitted on receipt of the Investment Dealer Licence(s))
7. Membership Undertaking
8. Trading Member-Clearing Member Agreement
9. List of documents required by the Financial Services Commission for the Licence(s) / Authorisation(s)
10.

Change in Authorised Signatory(ies) for matters pertaining to the Exchange and/or Clearing House.

Removal of Authorised Signatory (ies)
Addition of Authorised Signatory (ies)