New Registration - Entity
An entity registering under Part IV of the Securities Industry Act, 2021 can apply for one or more of the following categories:
- Trading in Securities as Principal
- Trading in Securities as Agent
- Arranging Transaction in Securities
- Managing Securities
- Providing Investment Advice
- Providing Custodial Servies with Respect to Securities
- Providing Administration Services with Respect to Securities
All companies applying for registration must meet the requirements set out in section 35 (1) of the SIA and section 30 of SIR. To apply for registration, refer to the table below and submit electronically via LicenSys.
If the application is successful, the Commission will provide an invoice via LicenSys to the applicant for the applicable registration fee set out in Schedule II of the Securities Industry Regulations, 2023 (SIR). After the registration fee is paid, the Commission will issue:
- the respective digital certificate of registration,
- the terms and conditions attached to the registration, and
- the company will be entered on the register.
All registered companies are required to appoint an Approved Auditor. To submit electronically, visit: LicenSys.
| Additional Resources | ||
| An applicant may be required to provide supplementary information or clarification of the information initially provided in their application. | ||
New Registration – Mutual Fund
A mutual fund is a company, partnership, unit trust or other entity prescribed that is incorporated, formed or organized under the laws of Belize that collects and pools investor funds for the purpose of investment in securities. Any company carrying out securities business as a public mutual fund is to be registered under section 88 of the Securities Industry Act, 2021. Companies applying for recognition as a professional fund must meet the requirements set out in section 89 of the Act.
A public mutual fund or professional fund must at all times have:
- A fund manager
- A fund administrator
- A Custodian
To apply for registration, refer to the table below and submit via email to securitiesregistration@belizefsc.org.bz.
| Required Documentation for the Registration or Recognition of a Fund | Additional Resources |
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Securities Industry Act, 2021 (SIA).
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