Financial Markets Act, 2012 (Act No. 19 of 2012)

Regulations

Purchase

Schedule A

Operational Risk (as set out in Regulation 25)

Table 25(A)

Business line

List of activities

Trading and sales

•	Dealing on own account

•	Money broking

•	Reception and transmission of orders in relation to one or more securities

•	Execution of orders on behalf of clients

•	Placing of securities without a firm commitment basis

•	Operation of exchanges and trading venues

Payment and settlement

•	Money transmission services

•	Issuing and administering means of payment

Agency services

•	Safekeeping and administration of securities for the account of clients, including custodianship and related services such as cash/collateral management

Asset management

•	Portfolio management

•	Managing of Collective investment schemes

•	Other forms of asset management