Vanuatu Securities Dealer License

Activities

A Vanuatu Securities Dealer License permits financial institutions and companies to engage in a wide range of securities-related activities, primarily targeting international clients. These activities include:

Trading securities such as stocks, bonds, futures, and options.

Offering brokerage services for buying and selling securities on behalf of clients.

Providing investment advisory services, helping clients with securities trading strategies.

Facilitating portfolio management and wealth management services related to securities.

Acting as an intermediary in securities transactions between buyers and sellers.

Offering market-making services in specific securities.

Requirements

To obtain a Vanuatu Securities Dealer License, applicants must meet certain regulatory requirements set by the Vanuatu Financial Services Commission (VFSC). These typically include:

Minimum Capital Requirement
A specified minimum paid-up capital, which may vary depending on the business’s intended operations.

Business Plan
A detailed business plan outlining the company’s proposed securities activities, target markets, and financial projections.

Fit and Proper Test
Directors and key management personnel must pass the fit and proper assessment, demonstrating competence, experience, and good standing.

Physical Presence
Although Vanuatu does not always require a physical office, having a local agent and demonstrating operational capacity is often expected.

Compliance & Reporting
Adherence to anti-money laundering (AML) and counter-terrorism financing (CTF) regulations, along with regular financial reporting and audits.

Regulatory Fees
Payment of required application, licensing, and annual regulatory fees as prescribed by VFSC.

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