Financial Dealers Licensing Act [CAP 70] and Amendments

IMPORTANT INFORMATION REGISTER SEARCH ACTS & REGULATIONS CTSP DIRECTORY FINANCIAL DEALERS LICENSE

 

The Supervision Department of the VFSC is responsible for Financial Dealers Licensing  and supervision. For more information regarding financial dealers licensing please contact : Ms. Hanson Moli , Email: hmoli@vfsc.vu ; Mr. Michael Naviti, Email: mnaviti@vfsc.vu.

FDL Legislation’s

Copies of the original Financial Dealers Licensing Act can be found here, click English Version. Please note that it has been subsequently amended. Historical version of the Financial Dealers Licensing Act-previously known as “Prevention of Fraud (Investments) Acts” and the “Dealers in Securities (Licensing) Act”-can be found on PacLii Vanuatu legislation section http://www.paclii.org/countries/vu.html . Other amendments can be found in here:

Financial Dealers Licensing (Amendment) Act No.9 Of 2021

Financial Dealers Licensing (Amendment) Act No. 31 of 2018

Dealers in Securities (Licensing) Amendment Act No 11 of 2017

Loi No 11 de 2017 sur Les Courtiers en Valeurs Mobiliers (Delivrance de Patente) (Modification)

Prevention of Fraud (Amendment) Act NO. 39 of 2005

Prevention of Fraud (Investments) (Am) Act No. 7 of 2012

Loi No 7 de 2012 sur la Lutte contre la Fraude à l_Investissement (Modification)

 

List of Licensees:

Financial-Dealers-Licensee-List-Dated-October-2022

Remittance Information :

VFSC-Remittance-Instructions

Forms:
Application form – Managers License

Application Form – Principals License

Application form – Representative License
Personal Questionnaire

Financial Dealers Licensing Guidelines:

2021

Guidance note on outsourcing

Guidance on Custody.docx

Guideline for Managers License

Guidelines on Application

Guidence Digital Asset

Licensing Criteria of Financial Dealers

Physical Presence

Risk Management guide

2017

VFSC Guidance Notes Addressing Complaints Against a Financial Dealers Licensee

Fit and Proper Guidelines

Guidance notes for applications

MARKET PRACTICE AND CODE OF CONDUCT

Guidance Notes on FIT and Proper Criteria – VFSC – French

Notice:

VFSC Press Release – Crypto & Digital Assets Trading
PUBLIC NOTICE – Financial Dealers Licensing
FINANCIAL-DEALERS-LICENSING-ACT-AMENDMENT-PUBLIC-NOTICE-1

Press-Release-Digital-Assets