Securities Companies

Securities Companies

A Securities Company is a Person that engages in the business of Underwriter, Broker-Dealer and/or Investment Manager (Art 1 item 21. Of the Capital Market Law).

Underwriters

An Underwriter is a Person who makes an agreement with an Issuer to conduct a Public Offering, with or without the obligation to purchase Securities that are not sold (Art 1 item 17. of the Capital Market Law).

As of June 30, 2000 Bapepam has given business licenses to 117 Underwriters.

List of Securities Companies
PDF file 184 kb
PEE = Underwriter
PPE = Broker-dealer
MI = Investment Manager

Broker-Dealers

A Broker-dealer is a Person who enganges in the business of buying and selling securities for the account of others or for his own account (Art 1 item 18. of Capital Market Law).

As of June 30, 2000 Bapepam has given business licenses to 207 Broker-dealers.

List of Securities Companies
PDF file 184 kb
PEE = Underwriter
PPE = Broker-dealer
MI = Investment Manager

Investment Managers

An Investment Manager is a Person other than an insurance Company, pension fund or bank with respect to its own lawful activities, that, as a business, manages Securities Portfolios or collective investment Portfolios for clients who are account holders. (Art. 1 item 11. Of the Capital Market Law)

As of June 30, 2000 Bapepam has given business licenses to 70 Investment Managers.

List of Investment Manager