Capital Markets 1

Who we are

The division regulates and supervises entities in the cluster of capital markets, including collective investment schemes. The Capital Markets Division’s responsibilities are carried out in terms of several pieces of legislation. These laws are the Financial Institutions (Investment of Funds) Act, 1984 (No. 39 of 1984); the Unit Trusts Control Act, 1981 (No. 54 of 1981); Regulations 13 issued under the Pension Funds Act (No.24 of 1956); Determination of conditions in terms of section 4(1)(f) of the Stock Exchange Control Act, 1985 and the Stock Exchanges Control Act, 1985 (No. 1 of 1985). The Division therefore provides a supervisory oversight function and regulates the exchange, stockbrokers, investment managers, unit trust management companies, linked investment service providers (LISPs), unlisted investment managers and special purpose vehicles.

Value Proposition

We protect and enhance the integrity of the Namibian capital markets system, ensuring that capital markets players can prosper and consumers can place their trust in fair, orderly, efficient, transparent and reliable capital markets.

Objectives

We aim to:

  • Secure an appropriate degree of protection for consumers,
  • Maintain fair, orderly, efficient, transparent and reliable capital markets,
  • Facilitate capital formation, deepening and development of the capital markets industry,
  • Enhance the proper functioning of the capital markets systems while enabling effective competition in the interests of consumers, and
  • Reduce systemic risk.

These objectives are the foundation for our approach to capital markets supervision. We seek to ensure that fair treatment of consumers is at the heart of regulated entities’ business models, and that regulated entities do not adversely affect market integrity and fair competition.

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Name of InstitutionsContact PersonPhysical addressPostal AddressTelephone NumberFax NumberCell NumberE-mail addressRegistration DateFinancial Year end

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Name of Stock BrokersContact PersonPhysical AddressPostal AddressTelephone NumberFax NumberE-mail AddressRegistration Date

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Name of LISPContact PersonPhysical AddressPostal AddressTelephone NumberFax NumberCell. NunmberE-mail AddressRegistration Date