塞舌尔金融服务管理局（FAS）

PROPOSAL FOR APPLICATION FOR A SEYCHELLES SECURITIES

DEALER LICENCE

About Seychelles Securities Dealer License

a) The Securities Act 2007 provides the legal framework for the provision of SecuritiesDealer Services.

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b) A Seychelles Securities Dealer License is a license which allows a company to trade insecurities either as a principal (on its own account) or as an agent (on behalf of its clients).

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c) The regulatory authority, which grants the authorization for such a firm, is the FinancialServices Authority (Seychelles).

塞舌尔 The Securities Act 2007提供在塞舌尔的监管要求以及许可.

Securities Dealer License 持牌机构可以通过自有账户进行交易或在客户许可情 况，代替客户进行交易. 监管机构为塞舌尔FSA(Financial Services Authority)

许可业务范围：

Permitted Activities

Per the Securities Act, 2007 a Securities Dealer means a person:

a) Who carries on business of dealing in securities, or

b) Who holds himself out as conducting such business described below:

I.

Makes or offers to make an agreement with another person to enter

into or offer to enter into an agreement, for or with a view to acquiring,

disposing of, subscribing for or underwriting securities or in any way

effects or causes to effect a securities transaction.

II.

Causes any sale or disposition of or other dealing or any solicitation in

respect of securities for valuable consideration, whether the terms of

payment be on margin, instalment or otherwise or any attempt to do

any of the foregoing.

III.

Participates as a securities dealer in any transaction in a security

occurring upon a securities exchange.

IV.

Receives as a securities dealer an order to buy or sell a security which

is executed.

V.

Manages a portfolio of securities for another person on terms under

which the first mentioned person may hold property of the other

person.

a) 从事证券交易的个人或机构

b) 或从事如下任何金融服务

1：获取，出售，承销证券或通过与任何他人签署协议进行证券业务

2：作为证券交易商参加证券交易中发生的任何交易

3：参于证券交易中的任何担保, Margin trading业务，接受证券交易指令后进行

clearing.

4: 作为中介服务商进行任何证券交易服务

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Permitted Instruments (Definition of Securities)

其他监管要求：

1：需要在塞舌尔有在案办公室

2：需要在塞舌尔当地有全职合规人员

3：需要每年公司账户经过审计报备FSA

4: 公司需要保险合约

5：以及其他所有FSA监管要求

6：最低保证金要求5万美金