Which Capital market players are regulated by SECZ?

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SECZ regulate and license persons who trade or deal in or manage securities and these include:

  • Securities dealers & dealing firms (commonly referred to as stockbrokers)
  • Securities Transfer Secretaries
  • Securities Custodians
  • Securities Investment Advisers
  • Securities Investment Managers
  • Securities Trustees
  • Central Securities Depositories
  • Depository Participants
  • Securities Exchanges (also known as Stock Exchanges)
  • Such other licensees as may be prescribed in rules