Service Provider Self-Evaluation Form Section 1: Incorporation Type Choose your incorporation type: No Selection Share Company Private Limited Company General Partnership Limited Partnership Limited Liability Partnership One Person Private Limited Company Individual/Sole Trader Section 2: General Information I. Do you have a Commercial Registration Certificate or Investment Permit issued by the relevant government organ in Ethiopia? Yes No II. Do you have a Phone Number? Yes No III. Do you have an Email Address? Yes No IV. Do you have a Registered/Business Address?: Yes No Section 3: Pudential Requirements SECTION 3.1: Prospective Services Lisense(s) and Capital Requirement Prospective Services License: Please select the Services License that you want to apply for: (Hold down the CTRL key to select multiple licenses) Selected Prospective Licenses: Total Net-worth needed for all the selected licenses: 0 The Market Maker is to be decided by the Ethiopian Securities Exchange 3.2: Asset Mix Ratio # Identifier Birr ‘000,000 1. Liquid Asset(A) – 1.1 Cash 1.2 Bank deposits 1.3 Treasury bills 1.4 Listed securities 1.5 Other liquid assets 1.5.1 (please specify) Total Liquid Assets 0 2. Total Assets (B) Ratio of Liquid Assets to Total Assets 0 Section 4: Governance Requirements 4.1 Governance Structure Governance Structure: 4.1.1. Does the applicant have a Board of Directors? Yes No N/A 4.1.2. Does the applicant have at least three (3) Directors? Yes No N/A 4.1.3. Do the Directors meet the required qualifications stated in the Competency Framework of the Capital Market Service Providers Directive? Yes No N/A 4.1.4. Is there a Board Charter? Yes No N/A 4.1.5. Is the position of Chairperson and Managing Director/Chief Executive Officer separate? Yes No N/A 4.1.6. Does the Managing Director/Chief Executive Officer meet the required qualifications stated in the Competency Framework? Yes No N/A 4.1.7. Does the Board of the applicant have the following Sub-Committees? 4.1.7a. Nomination and Election Committee Yes No N/A 4.1.7b. Risk Management and Compliance Committee Yes No N/A 4.1.7c. Audit Committee Yes No N/A 4.1.8. Do the Board and its Committees have the appropriate balance of skills and diversity (including experience and gender) without compromising competence, independence and integrity? Yes No N/A 4.1.9. Does the applicant have a Company Secretary or its equivalent? Yes No N/A Section 5: Other Operational Requirements 5.1 Operational Readiness 5.1.1. Infrastructural Facilities: 5.1.1a. Is the applicant’s business premises ready for operations? Yes No N/A 5.1.1b. Are there Furniture and Fittings? Yes No N/A 5.1.1c. Are there IT hardware configurations and software applications? Yes No N/A 5.1.1d. Are there telephones and voice recording devices? Yes No N/A 5.1.2. Record Keeping 5.1.2a. Does the applicant have appropriate systems and procedures for storing and retrieving information? Yes No N/A 5.1.2b. Does the applicant have an internal document retention policy? Yes No N/A 5.1.3. Operational Procedures and Requirements 5.1.3a. Does the applicant have a detailed operations manual? Yes No N/A 5.1.3b. Does the applicant have a securities trading policy?* Yes No N/A 5.1.3c. Does the applicant have proprietary trading policy?* Yes No N/A 5.1.3d. Does the applicant have a code of conduct/ethics for employees?* Yes No N/A 5.1.3e. Does the applicant have a conflict of interest policy? Yes No N/A 5.1.3f. Does the applicant have a compliance manual?* Yes No N/A 5.1.3g. Does the applicant have an AML/CFT manual?* Yes No N/A 5.1.3h. Does the applicant have a dispute resolution framework? Yes No N/A 5.1.3i. Is the applicant a member of a recognized SRO or industry association? Yes No N/A 5.1.3j. Does the applicant have a standard KYC procedure? Yes No N/A 5.1.3k. Does the applicant have a fidelity guarantee or commenced the process of obtaining one? Yes No N/A 5.1.3l. Does the applicant have a strategic business plan? Yes No N/A 5.1.3m. Does the applicant have a full year Audited Financial Statement or Statement of Affairs or three (3) months Management Account?* Yes No N/A 5.2 Technology Requirements 5.2.4. Systems and Control: 5.2.4a. Does the applicant have procedures and satisfactory risk management systems, and compliance systems aimed at preventing, detecting, and correcting securities law violations? Yes No N/A 5.2.4b. Does the applicant have a disaster recovery and business continuity procedure? Yes No N/A 5.2.4c. Does the applicant have a data privacy policy? Yes No N/A 5.2.4d. Does the applicant have in place procedures to deal with cyber risks? Yes No N/A 5.3 Human Resource Requirements 5.3.5. Employees: 5.3.5a. Has the applicant identified the individuals to be appointed as Appointed Representatives for the Services License(s)? Yes No N/A 5.3.5b. Does the applicant have a Compliance Officer? Yes No N/A 5.3.5c. Does the applicant have adequate employees in terms of number, qualification and experience to operate the company? Yes No N/A We appreciate your participation in the self-evaluation process. However, we would like to bring to your attention that the response provided does not fully comply with the Capital Market Service Providers Licensing and Supervision Directive. A PDF has been generated and downloaded for your review. Nonetheless, if you still want to consider applying for the license, you can click the button below to access the forms. Generate the Forms Anyway
