CHAPTER 41 / 55 · Paid
SEC-6.1 to SEC-6.5.
Follow the five foreign dealer shops. They are not domestic dealer licences and not a representative office.
Approx. 18 min with exercisesLaw cut-off: 20 September 2026Our approach
By the end of this chapter
- Describe the shop in one paragraph from the first file on the desk.
- Decide the promoter’s next asks: which stay on this letter, which need another paper.
- Keep neighbouring permissions off this desk.
- Cite the enabling section and treat the licence letter as the book.
How this family is grouped
Follow the five foreign dealer shops. They are not domestic dealer licences and not a representative office. Each code below is its own shop: a first file, a week, the asks that need a different paper, then the letter. A quieter label is not a thinner file.
SEC-6.1 Foreign Investment Dealer (Full Service Dealer including Underwriting)
FSC · SEC-6.1 · Authorisation
1. A London house accessing SEM’s shop
A London house accessing SEM is the desk this chapter is for. Authorisation of a foreign full-service dealer including underwriting.
The first file on the desk is this. A UK full-service dealer wants to underwrite and deal on SEM without incorporating a Mauritius dealer. SEC-6.1 / section 29(3).
Three facts have to stay true of that book. First, the letter is the activity specified. This is a authorisation under Securities Act 2005, Section 29(3). A company name is not a permission.
Second, neighbouring papers stay off this desk. Not a domestic 2.1A, not FS-2.10 representative office, and not 6.2.
Third, the assumptions stay in the file. Fictional foreign dealer. Cut-off 20 September 2026.
Securities Act 2005, Section 29(3). See the register note · Open the published text ↗.
2. A week with A London house accessing SEM
Monday. The promoter walks in with “A London house accessing SEM.” Write the facts before anyone names a code: A UK full-service dealer wants to underwrite and deal on SEM without incorporating a Mauritius dealer.
Tuesday. The team writes the activity in the words of the licence letter, not the brass plate. Authorisation of a foreign full-service dealer including underwriting.
Wednesday. They record what this permission is used for. SEC-6.1 / section 29(3).
Thursday. They write what the letter does not cover. Not 2.1A and not FS-2.10 as a substitute.
Friday. They lock the assumptions. Fictional foreign dealer. Cut-off 20 September 2026. The file is ready for the application, not for a slogan on a slide.
The other files on this desk should look like that first one: a named person, a specified activity, and a letter that matches the work. That is what SEC-6.1 is used for. The Act matters when A London house accessing SEM applies, when the Commission writes conditions onto the letter, and when the same promoter telephones with a different idea.
3. What the same promoter asks next
The facts are fictional. The method is the course: keep the shop you have just watched, and ask which desk is now doing the work.
This licence
A London house accessing SEM
A UK full-service dealer wants to underwrite and deal on SEM without incorporating a Mauritius dealer.
Why it fits. SEC-6.1 / section 29(3).
Different paper
The same promoter asks for domestic 2.1A
The slide says the SEC-6.1 letter already covers it because the same company, the same officers or the same client are on the file.
Why it does not. Keep the neighbouring paper off this desk. Not 2.1A and not FS-2.10 as a substitute.
Different paper
The same promoter asks for FS-2.10 representative office
The slide says the SEC-6.1 letter already covers it because the same company, the same officers or the same client are on the file.
Why it does not. Keep the neighbouring paper off this desk. Not 2.1A and not FS-2.10 as a substitute.
| The promoter asks A London house accessing SEM to… | This licence? | Why |
|---|---|---|
| A London house accessing SEM | Yes | SEC-6.1 / section 29(3). |
| The same promoter asks for domestic 2.1A | No | Keep the neighbouring paper off this desk. Not 2.1A and not FS-2.10 as a substitute. |
| The same promoter asks for FS-2.10 representative office | No | Keep the neighbouring paper off this desk. Not 2.1A and not FS-2.10 as a substitute. |
4. Papers that sit beside this one
Not a domestic 2.1A, not FS-2.10 representative office, and not 6.2. Name the other desk when the work changes: a domestic 2.1A; FS-2.10 representative office.
- a domestic 2.1A
- FS-2.10 representative office
Neighbouring codes have their own chapters. Do not import their books into this letter.
5. The letter and the file
A foreign dealer. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. Fees as at 1 July 2026: Processing fee USD 2,700. Status at cut-off: Published foreign-dealer category as at 1 July 2026.
Who may hold it. A foreign dealer. Domestic representatives codes do not attach automatically.
Published criteria. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. They neither derogate from nor restrict the Commission’s statutory powers, and they must be read with the relevant Act, rules, codes and circulars. Dedicated form. Home-state licence evidence belongs in the file.
Rules, codes and circulars. CL20260107 for the general review. This is an authorisation, not a domestic licence.
6. How to cite SEC-6.1
| Coordinate | As at 20 September 2026 |
|---|---|
| Directory code | SEC-6.1 Foreign Investment Dealer (Full Service Dealer including Underwriting) |
| Legal nature | Authorisation |
| Enabling law | Securities Act 2005 · Section 29(3) |
| Fees as at 1 July 2026 | Processing fee USD 2,700. Fixed annual fee USD 8,000. Brokerage fees under the Stock Exchange (Brokerage) Regulations 1989 or any other enactment as applicable. Unless the directory states a different conversion rule, USD figures apply only to an applicant for a Global Business Licence or a corporation holding a Global Business Licence. FSC Circular Letter CL20260107 (1 July 2026) records that the replacement fee schedule operates from 1 July 2026 and that annual fees are due by 30 September 2026. A circular does not rewrite the activity this code authorises. |
| Status at cut-off | Published foreign-dealer category as at 1 July 2026. |
The structured library card keeps the same coordinates for search. Open SEC-6.1 in the reference library.
FSC codified list of licences, authorisations, approvals, recognitions and registrations ↗Register noteSecurities Act 2005 ↗Register noteFSC licensing and fees amendment rules 2026 ↗Register noteFSC Circular Letter CL20260107 — review of fees and renewal of licences ↗Register noteFSC rules and regulations directory ↗Register note
SEC-6.2 Foreign Investment Dealer (Full Service Dealer excluding Underwriting)
FSC · SEC-6.2 · Authorisation
1. A foreign house that will not underwrite’s shop
A foreign house that will not underwrite is the desk this chapter is for. Foreign full-service dealer excluding underwriting.
The first file on the desk is this. A Johannesburg dealer wants SEM access without underwriting. SEC-6.2.
Three facts have to stay true of that book. First, the letter is the activity specified. This is a authorisation under Securities Act 2005, Section 29(3). A company name is not a permission.
Second, neighbouring papers stay off this desk. Not 6.1 and not domestic 2.1B.
Third, the assumptions stay in the file. Fictional foreign dealer. Cut-off 20 September 2026.
Securities Act 2005, Section 29(3). See the register note · Open the published text ↗.
2. A week with A foreign house that will not underwrite
Monday. The promoter walks in with “A foreign house that will not underwrite.” Write the facts before anyone names a code: A Johannesburg dealer wants SEM access without underwriting.
Tuesday. The team writes the activity in the words of the licence letter, not the brass plate. Foreign full-service dealer excluding underwriting.
Wednesday. They record what this permission is used for. SEC-6.2.
Thursday. They write what the letter does not cover. Not 6.1.
Friday. They lock the assumptions. Fictional foreign dealer. Cut-off 20 September 2026. The file is ready for the application, not for a slogan on a slide.
The other files on this desk should look like that first one: a named person, a specified activity, and a letter that matches the work. That is what SEC-6.2 is used for. The Act matters when A foreign house that will not underwrite applies, when the Commission writes conditions onto the letter, and when the same promoter telephones with a different idea.
3. What the same promoter asks next
The facts are fictional. The method is the course: keep the shop you have just watched, and ask which desk is now doing the work.
This licence
A foreign house that will not underwrite
A Johannesburg dealer wants SEM access without underwriting.
Why it fits. SEC-6.2.
Different paper
The same promoter asks for domestic 2.1B
The slide says the SEC-6.2 letter already covers it because the same company, the same officers or the same client are on the file.
Why it does not. Keep the neighbouring paper off this desk. Not 6.1.
Different paper
Borrow a neighbouring letter because the officers are the same
The slide says one permission covers every desk in the building.
Why it does not. Not 6.1.
| The promoter asks A foreign house that will not underwrite to… | This licence? | Why |
|---|---|---|
| A foreign house that will not underwrite | Yes | SEC-6.2. |
| The same promoter asks for domestic 2.1B | No | Keep the neighbouring paper off this desk. Not 6.1. |
| Borrow a neighbouring letter because the officers are the same | No | Not 6.1. |
4. Papers that sit beside this one
Not 6.1 and not domestic 2.1B. Name the other desk when the work changes: domestic 2.1B.
- domestic 2.1B
Neighbouring codes have their own chapters. Do not import their books into this letter.
5. The letter and the file
A foreign dealer without underwriting on this authorisation. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. Fees as at 1 July 2026: Processing fee USD 700. Status at cut-off: Published foreign-dealer category as at 1 July 2026.
Who may hold it. A foreign dealer without underwriting on this authorisation.
Published criteria. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. They neither derogate from nor restrict the Commission’s statutory powers, and they must be read with the relevant Act, rules, codes and circulars.
Rules, codes and circulars. CL20260107 for the general review.
6. How to cite SEC-6.2
| Coordinate | As at 20 September 2026 |
|---|---|
| Directory code | SEC-6.2 Foreign Investment Dealer (Full Service Dealer excluding Underwriting) |
| Legal nature | Authorisation |
| Enabling law | Securities Act 2005 · Section 29(3) |
| Fees as at 1 July 2026 | Processing fee USD 700. Fixed annual fee USD 2,200. Brokerage as applicable. Unless the directory states a different conversion rule, USD figures apply only to an applicant for a Global Business Licence or a corporation holding a Global Business Licence. FSC Circular Letter CL20260107 (1 July 2026) records that the replacement fee schedule operates from 1 July 2026 and that annual fees are due by 30 September 2026. A circular does not rewrite the activity this code authorises. |
| Status at cut-off | Published foreign-dealer category as at 1 July 2026. |
The structured library card keeps the same coordinates for search. Open SEC-6.2 in the reference library.
FSC codified list of licences, authorisations, approvals, recognitions and registrations ↗Register noteSecurities Act 2005 ↗Register noteFSC licensing and fees amendment rules 2026 ↗Register noteFSC Circular Letter CL20260107 — review of fees and renewal of licences ↗Register noteFSC rules and regulations directory ↗Register note
SEC-6.3 Foreign Investment Dealer (Broker)
FSC · SEC-6.3 · Authorisation
1. A foreign agency broker’s shop
A foreign agency broker is the desk this chapter is for. Foreign broker-class dealer authorisation.
The first file on the desk is this. A Nairobi broker wants to execute SEM orders for its clients. SEC-6.3.
Three facts have to stay true of that book. First, the letter is the activity specified. This is a authorisation under Securities Act 2005, Section 29(3). A company name is not a permission.
Second, neighbouring papers stay off this desk. Not 6.2 and not domestic 2.2.
Third, the assumptions stay in the file. Fictional foreign broker. Cut-off 20 September 2026.
Securities Act 2005, Section 29(3). See the register note · Open the published text ↗.
2. A week with A foreign agency broker
Monday. The promoter walks in with “A foreign agency broker.” Write the facts before anyone names a code: A Nairobi broker wants to execute SEM orders for its clients.
Tuesday. The team writes the activity in the words of the licence letter, not the brass plate. Foreign broker-class dealer authorisation.
Wednesday. They record what this permission is used for. SEC-6.3.
Thursday. They write what the letter does not cover. Not a domestic broker licence.
Friday. They lock the assumptions. Fictional foreign broker. Cut-off 20 September 2026. The file is ready for the application, not for a slogan on a slide.
The other files on this desk should look like that first one: a named person, a specified activity, and a letter that matches the work. That is what SEC-6.3 is used for. The Act matters when A foreign agency broker applies, when the Commission writes conditions onto the letter, and when the same promoter telephones with a different idea.
3. What the same promoter asks next
The facts are fictional. The method is the course: keep the shop you have just watched, and ask which desk is now doing the work.
This licence
A foreign agency broker
A Nairobi broker wants to execute SEM orders for its clients.
Why it fits. SEC-6.3.
Different paper
The same promoter asks for domestic 2.2
The slide says the SEC-6.3 letter already covers it because the same company, the same officers or the same client are on the file.
Why it does not. Keep the neighbouring paper off this desk. Not a domestic broker licence.
Different paper
Borrow a neighbouring letter because the officers are the same
The slide says one permission covers every desk in the building.
Why it does not. Not a domestic broker licence.
| The promoter asks A foreign agency broker to… | This licence? | Why |
|---|---|---|
| A foreign agency broker | Yes | SEC-6.3. |
| The same promoter asks for domestic 2.2 | No | Keep the neighbouring paper off this desk. Not a domestic broker licence. |
| Borrow a neighbouring letter because the officers are the same | No | Not a domestic broker licence. |
4. Papers that sit beside this one
Not 6.2 and not domestic 2.2. Name the other desk when the work changes: domestic 2.2.
- domestic 2.2
Neighbouring codes have their own chapters. Do not import their books into this letter.
5. The letter and the file
A foreign broker. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. Fees as at 1 July 2026: Processing fee USD 400. Status at cut-off: Published foreign-dealer category as at 1 July 2026.
Who may hold it. A foreign broker.
Published criteria. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. They neither derogate from nor restrict the Commission’s statutory powers, and they must be read with the relevant Act, rules, codes and circulars.
Rules, codes and circulars. CL20260107 for the general review.
6. How to cite SEC-6.3
| Coordinate | As at 20 September 2026 |
|---|---|
| Directory code | SEC-6.3 Foreign Investment Dealer (Broker) |
| Legal nature | Authorisation |
| Enabling law | Securities Act 2005 · Section 29(3) |
| Fees as at 1 July 2026 | Processing fee USD 400. Fixed annual fee USD 1,800. Brokerage as applicable. Unless the directory states a different conversion rule, USD figures apply only to an applicant for a Global Business Licence or a corporation holding a Global Business Licence. FSC Circular Letter CL20260107 (1 July 2026) records that the replacement fee schedule operates from 1 July 2026 and that annual fees are due by 30 September 2026. A circular does not rewrite the activity this code authorises. |
| Status at cut-off | Published foreign-dealer category as at 1 July 2026. |
The structured library card keeps the same coordinates for search. Open SEC-6.3 in the reference library.
FSC codified list of licences, authorisations, approvals, recognitions and registrations ↗Register noteSecurities Act 2005 ↗Register noteFSC licensing and fees amendment rules 2026 ↗Register noteFSC Circular Letter CL20260107 — review of fees and renewal of licences ↗Register noteFSC rules and regulations directory ↗Register note
SEC-6.4 Foreign Investment Dealer (Discount Broker)
FSC · SEC-6.4 · Authorisation
1. A foreign execution-only app’s shop
A foreign execution-only app is the desk this chapter is for. Foreign discount-broker authorisation.
The first file on the desk is this. An EU execution-only firm wants SEM access for its app users. SEC-6.4.
Three facts have to stay true of that book. First, the letter is the activity specified. This is a authorisation under Securities Act 2005, Section 29(3). A company name is not a permission.
Second, neighbouring papers stay off this desk. Not 6.3 and not domestic 2.3.
Third, the assumptions stay in the file. Fictional firm. Cut-off 20 September 2026.
Securities Act 2005, Section 29(3). See the register note · Open the published text ↗.
2. A week with A foreign execution-only app
Monday. The promoter walks in with “A foreign execution-only app.” Write the facts before anyone names a code: An EU execution-only firm wants SEM access for its app users.
Tuesday. The team writes the activity in the words of the licence letter, not the brass plate. Foreign discount-broker authorisation.
Wednesday. They record what this permission is used for. SEC-6.4.
Thursday. They write what the letter does not cover. Not 6.2 full-service.
Friday. They lock the assumptions. Fictional firm. Cut-off 20 September 2026. The file is ready for the application, not for a slogan on a slide.
The other files on this desk should look like that first one: a named person, a specified activity, and a letter that matches the work. That is what SEC-6.4 is used for. The Act matters when A foreign execution-only app applies, when the Commission writes conditions onto the letter, and when the same promoter telephones with a different idea.
3. What the same promoter asks next
The facts are fictional. The method is the course: keep the shop you have just watched, and ask which desk is now doing the work.
This licence
A foreign execution-only app
An EU execution-only firm wants SEM access for its app users.
Why it fits. SEC-6.4.
Different paper
The same promoter asks for domestic 2.3
The slide says the SEC-6.4 letter already covers it because the same company, the same officers or the same client are on the file.
Why it does not. Keep the neighbouring paper off this desk. Not 6.2 full-service.
Different paper
Borrow a neighbouring letter because the officers are the same
The slide says one permission covers every desk in the building.
Why it does not. Not 6.2 full-service.
| The promoter asks A foreign execution-only app to… | This licence? | Why |
|---|---|---|
| A foreign execution-only app | Yes | SEC-6.4. |
| The same promoter asks for domestic 2.3 | No | Keep the neighbouring paper off this desk. Not 6.2 full-service. |
| Borrow a neighbouring letter because the officers are the same | No | Not 6.2 full-service. |
4. Papers that sit beside this one
Not 6.3 and not domestic 2.3. Name the other desk when the work changes: domestic 2.3.
- domestic 2.3
Neighbouring codes have their own chapters. Do not import their books into this letter.
5. The letter and the file
A foreign discount broker. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. Fees as at 1 July 2026: Processing fee USD 200. Status at cut-off: Published foreign-dealer category as at 1 July 2026.
Who may hold it. A foreign discount broker.
Published criteria. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. They neither derogate from nor restrict the Commission’s statutory powers, and they must be read with the relevant Act, rules, codes and circulars.
Rules, codes and circulars. CL20260107 for the general review.
6. How to cite SEC-6.4
| Coordinate | As at 20 September 2026 |
|---|---|
| Directory code | SEC-6.4 Foreign Investment Dealer (Discount Broker) |
| Legal nature | Authorisation |
| Enabling law | Securities Act 2005 · Section 29(3) |
| Fees as at 1 July 2026 | Processing fee USD 200. Fixed annual fee USD 1,300. Brokerage as applicable. Unless the directory states a different conversion rule, USD figures apply only to an applicant for a Global Business Licence or a corporation holding a Global Business Licence. FSC Circular Letter CL20260107 (1 July 2026) records that the replacement fee schedule operates from 1 July 2026 and that annual fees are due by 30 September 2026. A circular does not rewrite the activity this code authorises. |
| Status at cut-off | Published foreign-dealer category as at 1 July 2026. |
The structured library card keeps the same coordinates for search. Open SEC-6.4 in the reference library.
FSC codified list of licences, authorisations, approvals, recognitions and registrations ↗Register noteSecurities Act 2005 ↗Register noteFSC licensing and fees amendment rules 2026 ↗Register noteFSC Circular Letter CL20260107 — review of fees and renewal of licences ↗Register noteFSC rules and regulations directory ↗Register note
SEC-6.5 Foreign Investment Dealer (Derivatives)
FSC · SEC-6.5 · Authorisation
1. A foreign listed-derivatives house’s shop
A foreign listed-derivatives house is the desk this chapter is for. Foreign derivatives dealer authorisation.
The first file on the desk is this. A Chicago futures merchant wants Mauritius derivatives access. SEC-6.5.
Three facts have to stay true of that book. First, the letter is the activity specified. This is a authorisation under Securities Act 2005, Section 29(3). A company name is not a permission.
Second, neighbouring papers stay off this desk. Not domestic 2.1C and not a VASP.
Third, the assumptions stay in the file. Fictional foreign dealer. Cut-off 20 September 2026.
Securities Act 2005, Section 29(3). See the register note · Open the published text ↗.
2. A week with A foreign listed-derivatives house
Monday. The promoter walks in with “A foreign listed-derivatives house.” Write the facts before anyone names a code: A Chicago futures merchant wants Mauritius derivatives access.
Tuesday. The team writes the activity in the words of the licence letter, not the brass plate. Foreign derivatives dealer authorisation.
Wednesday. They record what this permission is used for. SEC-6.5.
Thursday. They write what the letter does not cover. Not VA-1.1.
Friday. They lock the assumptions. Fictional foreign dealer. Cut-off 20 September 2026. The file is ready for the application, not for a slogan on a slide.
The other files on this desk should look like that first one: a named person, a specified activity, and a letter that matches the work. That is what SEC-6.5 is used for. The Act matters when A foreign listed-derivatives house applies, when the Commission writes conditions onto the letter, and when the same promoter telephones with a different idea.
3. What the same promoter asks next
The facts are fictional. The method is the course: keep the shop you have just watched, and ask which desk is now doing the work.
This licence
A foreign listed-derivatives house
A Chicago futures merchant wants Mauritius derivatives access.
Why it fits. SEC-6.5.
Different paper
The same promoter asks for domestic 2.1C
The slide says the SEC-6.5 letter already covers it because the same company, the same officers or the same client are on the file.
Why it does not. Keep the neighbouring paper off this desk. Not VA-1.1.
Different paper
The same promoter asks for VASP
The slide says the SEC-6.5 letter already covers it because the same company, the same officers or the same client are on the file.
Why it does not. Keep the neighbouring paper off this desk. Not VA-1.1.
| The promoter asks A foreign listed-derivatives house to… | This licence? | Why |
|---|---|---|
| A foreign listed-derivatives house | Yes | SEC-6.5. |
| The same promoter asks for domestic 2.1C | No | Keep the neighbouring paper off this desk. Not VA-1.1. |
| The same promoter asks for VASP | No | Keep the neighbouring paper off this desk. Not VA-1.1. |
4. Papers that sit beside this one
Not domestic 2.1C and not a VASP. Name the other desk when the work changes: domestic 2.1C; a VASP.
- domestic 2.1C
- a VASP
Neighbouring codes have their own chapters. Do not import their books into this letter.
5. The letter and the file
A foreign derivatives dealer. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. Fees as at 1 July 2026: Processing fee USD 900. Status at cut-off: Published foreign-dealer category as at 1 July 2026.
Who may hold it. A foreign derivatives dealer.
Published criteria. Published licensing criteria on the FSC codified list (consolidation as at 1 July 2026) are guidance. They neither derogate from nor restrict the Commission’s statutory powers, and they must be read with the relevant Act, rules, codes and circulars.
Rules, codes and circulars. CL20260107 for the general review.
6. How to cite SEC-6.5
| Coordinate | As at 20 September 2026 |
|---|---|
| Directory code | SEC-6.5 Foreign Investment Dealer (Derivatives) |
| Legal nature | Authorisation |
| Enabling law | Securities Act 2005 · Section 29(3) |
| Fees as at 1 July 2026 | Processing fee USD 900. Fixed annual fee USD 2,700. Unless the directory states a different conversion rule, USD figures apply only to an applicant for a Global Business Licence or a corporation holding a Global Business Licence. FSC Circular Letter CL20260107 (1 July 2026) records that the replacement fee schedule operates from 1 July 2026 and that annual fees are due by 30 September 2026. A circular does not rewrite the activity this code authorises. |
| Status at cut-off | Published foreign-dealer category as at 1 July 2026. |
The structured library card keeps the same coordinates for search. Open SEC-6.5 in the reference library.
FSC codified list of licences, authorisations, approvals, recognitions and registrations ↗Register noteSecurities Act 2005 ↗Register noteFSC licensing and fees amendment rules 2026 ↗Register noteFSC Circular Letter CL20260107 — review of fees and renewal of licences ↗Register noteFSC rules and regulations directory ↗Register note
PAUSE & REFLECT
Check your understanding.
Three questions to make the ideas stick. Your score is saved on this browser; this is a learning exercise, not a qualification.
Follow the sources.
Each title opens the published text. The register note records the edition used for this course.
- FSC codified list of licences, authorisations, approvals, recognitions and registrations ↗ All published category codes, fees, forms and licensing-criteria columns; consolidation as at 1 July 2026 · Register note
- Financial Services Act 2007 ↗ Sections 2, 14, 14A, 16–18, 25, 33, 71A, 72, 77, 77A, 77B, 77C, 78, 79A; Second Schedule Parts I–III; Fifth Schedule · Register note
- FSC licensing and fees amendment rules 2026 ↗ Rule 3 and replacement First Schedule; rule 4 commencement · Register note
- FSC Circular Letter CL20260107 — review of fees and renewal of licences ↗ 1 July 2026 fee review; annual-fee due date 30 September 2026; FSCOne alternative arrangements · Register note
- FSC rules and regulations directory ↗ Consolidated licensing and fees rules; sector-specific rules including Securities (Licensing) Rules and Family Office Rules · Register note
- Securities Act 2005 ↗ Sections 9–11, 29–30, 53, 86, 97–101, 155(2)(xc) · Register note
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