Welcome to the self-evaluation form for prospective Capital Market Service Providers. This tool allows prospective capital market service providers 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 the Ethiopian Capital Market Authority’s Licensing Directorate for assistance at licensing@ecma.gov.et for further inquiry. You can also call the Directorate directly at +251115578311.

Section 1: General Information

Section 2: Incorporation Type

Section 3: Pudential Requirements

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

Prospective Services License:

Selected Prospective Licenses:

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

    3.2: Liquidity 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:

    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:

    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. Nevertheless, if you still want to consider applying for the license, you can click the button below to access the forms.