Dealers In Securities (Licensing) Act [CAP 70] and Amendments

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

The Supervision Department of the VFSC is responsible for all Financial Dealers License new applications, renewals and supervision. For more information regarding financial dealers licensing please contact Mrs. Donna Titi at dhlini@vfsc.vu, Ms. Hanson Moli at hmoli@vfsc.vu or Mr. Michael Naviti at mnaviti@vfsc.vu.

FDL Legislations

Copies of the original Prevention of Fraud (Investments) Act can be found here,click  English version  or French version .Please note that it has been subsequently amended. The amendment can be found in here:

Financial Dealers Licesnsing (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 – Dated August, 2019

Draft List of Active Licencees with Certificates

Remittance Information :

Remittance Instructions

Financial Dealers Licensing Guidelines:

Fit and Proper Guidelines

GUIDANCE NOTES FOR APPLICATION

MARKET PRACTICE AND CODE OF CONDUCT

VFSC Guidance Notes Addressing Complaints Against a Financial Dealers Licensee

Guidance Notes on FIT and Proper Criteria – VFSC – French