You are viewing the translated version of धितोपत्र व्यवसायीको रूपमा दर्ता गर्न निवेदन दिनु पर्नेर्.
Rule 28
<br> to apply for registration as a securities dealer
An organized organization that wants to conduct securities business as a securities trader shall submit an application to the Board in the format specified in Schedule-11 along with the form specified in Schedule-12 to register its name with the Board in accordance with Section 18 of the Act.
(2) In accordance with sub-rule (1), the articles of association and regulations of the organized organization making the application or the relevant law establishing the organized organization must state that the main purpose of such organized organization is to conduct securities transactions. However, in the case of a bank or a financial institution, even if the business related to securities transactions is not the main purpose, but an auxiliary purpose, this regulation shall not be considered as an obstacle to the issuance of the certificate of securities dealer.
(3) If there is any change in the details submitted with the application under sub-rule (1), the relevant securities business shall notify the board within seven days.
(2) In accordance with sub-rule (1), the articles of association and regulations of the organized organization making the application or the relevant law establishing the organized organization must state that the main purpose of such organized organization is to conduct securities transactions. However, in the case of a bank or a financial institution, even if the business related to securities transactions is not the main purpose, but an auxiliary purpose, this regulation shall not be considered as an obstacle to the issuance of the certificate of securities dealer.
(3) If there is any change in the details submitted with the application under sub-rule (1), the relevant securities business shall notify the board within seven days.