SELF-EVALUATION FOR PROSPECTIVE CAPITAL MARKET SERVICE PROVIDERS

Welcome to the self-evaluation form for prospective Capital Market Service Providers. This tool allows a prospective capital market service provider to assess their standing as it relates to the Capital Market Service Providers Licensing and Supervision Directive. If you encounter any issues, please don't hesitate to contact us for assistance at licensing@ecma.gov.et call 011-5-57-83-11
መመሪያዎች:
  1. Applicants are required to complete this self-assessment form before submitting their application for a Capital Market Service License ("Service License").
  2. The self-assessment form is a guide to help prospective applicants assess their level of readiness for the service license, as well as their compliance with the due diligence, governance, and specific requirements set for each respective service license.
  3. A positive response or outcome on the completed self-assessment form does not guarantee that the applicant will be granted the service license.
  4. All parts of the self-assessment form relevant to the applicants must be completed. Fill in the responses in the appropriate box; and if necessary, mark a √ (check mark).፡
  5. The symbol (*) means is mandatory to individual applicants.
  6. The symbol (N/A) means not applicable.

Section 1: General Information






Section 2: Incorporation Type



Section 3: Prudential Requirements


SECTION 3.1: Prospective Services Lisense(s) and Capital Requirement


Prospective Services License፡-
ከአንድ በላይ የአገልግሎት ፈቃድ ለመምረጥ የCTRL ቁልፍን መጠቀም ይችላሉ

Selected Prospective Licenses-

    Total Net-worth needed for all the selected licenses፡ 0

    3.2: Asset Mix Ratio

    #IdentifierBirr '000,000
    1. Liquid Asset(A)-
    1.1Cash
    1.2Bank deposits
    1.3Treasury bills
    1.4Listed securities
    1.5Other liquid assets
    1.5.1(please specify)
    Total Liquid Assets0
    2. Total Assets (B)
    Ratio of Liquid Assets to Total Assets0


    Section 4: Governance Requirements

    4.1 Governance Structure

    Governance Structure:
    4.1.2. Do the Directors meet the required qualifications stated in the Competency Framework of the Capital Market Service Providers Licensing and Supervision Directive?














    Section 5: Other Operational Requirements

    5.1 Operational Readiness

    5.1.1. Infrastructural Facilities:





    5.1.2. Record Keeping




    5.1.3. Operational Procedures and Requirements














    5.2 Technology Requirements

    5.2.4. Systems and Control:






    5.3 Human Resource Requirements

    5.3.5. Employees:







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