This is the version of this Act as it was from 28 February 2014 to 8 February 2018. Read the latest available version.
South Africa
Financial Markets Act, 2012
Act 19 of 2012
- Published in Government Gazette 36121 on 1 February 2013
- Assented to on 30 January 2013
- Commenced on 3 June 2013 by Financial Markets Act, 2012: Commencement
- [This is the version of this document as it was from 28 February 2014 to 8 February 2018.]
- [Amended by Financial Services Laws General Amendment Act, 2013 (Act 45 of 2013) on 28 February 2014]
Chapter I
Preliminary provisions
1. Definitions and interpretation
2. Objects of Act
This Act aims to—3. Application of Act and rules
4. Prohibitions and adherence to authorisation by authorised users, participants and clearing members
Chapter II
Regulation and supervision of financial markets
5. Powers of the Minister
6. Registrar and Deputy Registrar of Securities Services
Chapter III
Exchanges
Licensing of exchange
7. Application for exchange licence
8. Requirements applicable to applicant for exchange licence and licensed exchange
9. Licensing of exchange
Functions of licensed exchange
10. Functions of licensed exchange and power of registrar to assume responsibility for functions
11. Listing of securities
12. Removal of listing and suspension of trading
13. Application of amended listing requirements to previously listed securities
14. Disclosure of information by issuers of listed securities
15. Maintenance of insurance, guarantee, compensation fund or other warranty
16. Funds of mutual exchange
A mutual exchange may require its authorised users to contribute towards the funds of the exchange for the purpose of carrying on the business of the exchange.Exchange rules
17. Requirements with which exchange rules must comply
Authorised users
18. Restriction on borrowing against and repledging of securities belonging to other persons
No authorised user may—19. Marking of or recording details of securities
When a document of title relating to listed securities comes into the possession of an authorised user, the authorised user must, as soon as possible—20. Restriction on alienation of securities
Subject to the exchange rules, an authorised user may only alienate listed securities deposited with the authorised user if the person who deposited them has authorised such alienation in writing.21. Segregation of funds
22. Segregation of securities
General provisions in relation to listed securities
23. Use of designation "stockbroker" and related designations
24. Buying and selling listed securities
A person may only carry on the business of buying or selling listed securities if that person—25. Reporting of transactions in listed securities
Chapter IV
Custody and administration of securities
26. Definition
For purposes of this Chapter, unless the context indicates otherwise, "securities" means uncertificated securities, including money market securities.Licensing of central securities depository
27. Application for central securities depository licence
28. Requirements applicable to applicant for central securities depository licence and licensed central securities depository
29. Licensing of central securities depository
Functions of licensed central securities depository
30. Functions of licensed central securities depository and power of registrar to assume responsibility for functions
Participant
31. Authorisation of participant
A licensed central securities depository may authorise a person as a participant in that central securities depository in terms of the depository rules.Duties of participant
32. Duties of participant
Uncertificated securities
33. Uncertificated securities
34. Duties of issuer of uncertificated securities
An issuer of uncertificated securities must—Depository rules
35. Requirements with which depository rules must comply
General provisions relating to custody and administration of securities
36. Registration of securities
37. Ownership of securities
38. Transfer of uncertificated securities or interest in uncertificated securities
39. Pledge or cession of uncertificated securities in securitatem debiti
40. Ranking of interests in securities
41. Acquisition by bona fide transferee
42. Withdrawal and delivery of securities
The withdrawal of uncertificated securities held in an uncertificated securities register by a central securities depository or participant, as the case may be, must be effected in the manner provided for in Chapter 2 of the Companies Act and the depository rules, where applicable.43. Records
If the records of a licensed central securities depository are inconsistent with those of a participant regarding securities deposited with the licensed central securities depository by the participant, the records of the central securities depository are deemed to be correct until the contrary is proved.44. Warranty and indemnity
45. Attachment
46. Effectiveness in insolvency
Any issuance, deposit, withdrawal, transfer, attachment, pledge, cession in securitatem debiti or other instruction in respect of securities or an interest in securities that has become effective against third parties, is effective against the insolvency administrator and creditors in any insolvency proceeding.Chapter V
Clearing house
Licensing of clearing house
47. Application for clearing house licence
48. Requirements applicable to applicant for clearing house licence and licensed clearing house
49. Licensing of clearing house
Functions of licensed clearing house
50. Functions of licensed clearing house and power of registrar to assume responsibility for functions
51. Maintenance of insurance, guarantee, compensation fund or other warranty
52. Funds of mutual independent clearing house
A mutual independent clearing house may require its clearing members to contribute towards the funds of the clearing house for the purpose of carrying on the business of the clearing house.Clearing house rules
53. Requirements with which clearing house rules must comply
Chapter VI
Trade repositories
54. Application for trade repository licence
55. Requirements applicable to applicant for trade repository licence and licensed trade repository
56. Licensing of trade repository
57. Duties of licensed trade repository
58. Reporting obligations
Subject to regulations prescribed by the Minister, the registrar may prescribe reporting obligations in respect of transactions or positions in unlisted securities which must be reported to a trade repository, including—Chapter VII
General provisions applicable to market infrastructures
59. Annual assessment
The registrar must annually assess, whether a licensed market infrastructure—60. Cancellation or suspension of licence
61. Carrying on of additional business
62. Conflicts of interest
A market infrastructure must, where applicable, take necessary steps to avoid, eliminate, disclose and otherwise manage possible conflicts of interest between its regulatory functions and its commercial services, which steps must include—63. Demutualisation of an exchange, central securities depository, or independent clearing house
64. Amalgamation, merger, transfer or disposal
65. Duty of members of controlling body
66. Appointment of members of controlling body
67. Limitation on control of and shareholding or other interest in market infrastructures
68. Delegation of functions
69. Report to registrar
Within four months after the financial year-end of a market infrastructure, that market infrastructure must submit to the registrar an annual report containing the details prescribed by the registrar and audited annual financial statements that fairly present the financial affairs and status of the market infrastructure.70. Attendance of meetings by, and furnishing of documents to, registrar
71. Manner in which rules of certain market infrastructure may be made, amended or suspended, and penalties for contraventions of such rules
72. Limitation of liability
73. Disclosure of information
Chapter VIII
Code of conduct
74. Code of conduct for regulated persons
75. Principles of code of conduct
Chapter IX
Provisions relating to nominees
76. Approval of nominee
Chapter X
Market abuse
77. Definitions
In this Chapter, unless the context indicates otherwise—"claims officer" means the person appointed by the board to be responsible for considering and determining claims in terms of section 82(4), (5) and (6);"deal" includes conveying or giving an instruction to deal;"executive director" means a person appointed as such in terms of section 85(12);"inside information" means specific or precise information, which has not been made public and which—(a)is obtained or learned as an insider; and(b)if it were made public, would be likely to have a material effect on the price or value of any security listed on a regulated market;"insider" means a person who has inside information—(a)through—(i)being a director, employee or shareholder of an issuer of securities listed on a regulated market to which the inside information relates; or(ii)having access to such information by virtue of employment, office or profession; or(b)where such person knows that the direct or indirect source of the information was a person contemplated in paragraph (a);"market abuse rules" means the rules made under section 84(2)(f);"market corner" means any arrangement, agreement, commitment or understanding involving the purchasing, selling or issuing of securities listed on a regulated market—(a)by which a person, or a group of persons acting in concert, acquires direct or indirect beneficial ownership of, or exercises control over, or is able to influence the price of, securities listed on a regulated market; and(b)where the effect of the arrangement, agreement, commitment or understanding is or is likely to be that the trading price of the securities listed on a regulated market, as reflected through the facilities of a regulated market, is or is likely to be abnormally influenced or dictated by such person or group of persons in that the said trading price deviates or is likely to deviate from the trading price which would otherwise likely have been reflected through the facilities of the regulated market on which the particular securities are traded;"person" includes a partnership and any trust; and"regulated market" means any market, domestic or foreign, which is regulated in terms of the laws of the country in which the market conducts business as a market for dealing in securities listed on that market.Offences
78. Insider trading
79. Publication
For the purposes of the definition of "inside information", information is regarded as having been made public in circumstances which include, but are not limited to, the following:80. Prohibited trading practices
81. False, misleading or deceptive statements, promises and forecasts
Insider trading sanction
82. Liability resulting from insider trading
Procedural matters
83. Attachments and interdicts
On application by the board, a court may in relation to any matter referred to in Chapter X grant an interdict or order the attachment of assets or evidence to prevent their concealment, removal, dissipation or destruction.Administration of Chapter
84. Powers and duties of Financial Services Board
85. Composition and functions of directorate
86. Financing of directorate
The costs of performing the functions of the board and those of the directorate in terms of this Chapter are paid out of levies imposed by the board on exchanges under section 15A of the Financial Services Board Act.General provisions
87. Protection of existing rights
Nothing in this Chapter prejudices the common law rights of any person aggrieved by any dealing or offence contemplated in this Chapter to claim any amount save to the extent that any portion of such amount has been recovered by such person under section 82.88. Confidentiality and sharing of information
The directorate may share information concerning any matter dealt with in terms of this Chapter with the institutions which have nominated persons to the directorate, the Takeover Regulation Panel, established by section 196 of the Companies Act, the South African Reserve Bank, the Independent Regulatory Board for Auditors constituted in terms of the Auditing Profession Act, a licensed exchange, a licensed central securities depository, or a licensed independent clearing house, the Financial Intelligence Centre established by the Financial Intelligence Centre Act, the National Treasury, the Minister and the persons, inside the Republic or elsewhere, responsible for regulating, investigating or prosecuting insider trading, prohibited trading practices and other market abuses.Chapter XI
Auditing
89. Auditor
90 Accounting records and audit
A regulated person must—91. Functions of auditor
92. Furnishing of information in good faith by auditor
The auditor must provide any report or information as required in terms of this Act despite the provisions of any contrary law or a provision of a code of professional conduct to which the auditor is subject.93. Power of registrar to request audit
Chapter XII
General provisions
Powers of registrar and court
94. General powers of registrar
95. Inspections and on-site visits
96. Powers of registrar after on-site visit or inspection
After an on-site visit or inspection has been conducted under section 95, the registrar may, in order to achieve the objects of this Act referred to in section 2—97. Power of registrar to impose penalties
98. Power of court to declare person disqualified
Enforcement committee
99. Referral to enforcement committee
The registrar may, despite and in addition to taking any step he or she may take under this Act, refer any contravention of this Act and any directives to the enforcement committee.Winding-up, business rescue and curatorship
100. Winding-up or sequestration by court
101. Business rescue
102. Appointment of curator
103. Appointment of business rescue practitioner or liquidator and approval of business rescue plan
Miscellanea
104. General interpretation of Act
This Act must be interpreted and applied in a manner that gives effect to the objects of the Act set out in section 2.105. Right of appeal
106. Evidence
A record, including an electronic record, purporting to have been made in the ordinary course of the business of a regulated person, or a copy or printout of or an extract from such record certified to be correct by an officer in the service of such regulated person, is on its mere production in any civil, criminal, administrative or disciplinary proceedings under this Act, the rules of an exchange, central securities depository, independent clearing house or any other law or the common law, admissible in evidence against any person and prima facie proof of the facts contained in such record, copy, printout or extract.107. Regulations
108. Fees
109. Offences and penalties
A person who—110. Savings and transitional arrangements
111. Repeal or amendment of laws
The laws referred to in the Schedule are hereby repealed or amended to the extent specified in the third column thereof.112. Short title and commencement
This Act is called the Financial Markets Act, 2012, and comes into operation on a date fixed by the President by proclamation in the Gazette.History of this document
01 June 2023
01 April 2019
01 April 2018
09 February 2018
28 February 2014 this version
03 June 2013
Commenced by
Financial Markets Act, 2012: Commencement
01 February 2013
30 January 2013
Assented to
Subsidiary legislation
Cited documents 24
Legislation 24
- Banks Act, 1990
- Co-operative Banks Act, 2007
- Collective Investment Schemes Control Act, 2002
- Companies Act, 2008
- Competition Act, 1998
- Consumer Protection Act, 2008
- Criminal Procedure Act, 1977
- Electronic Communications and Transactions Act, 2002
- Financial Advisory and Intermediary Services Act, 2002
- Financial Institutions (Protection of Funds) Act, 2001
- Financial Intelligence Centre Act, 2001
- Financial Sector Regulation Act, 2017
- Financial Services Board Act, 1990
- Insolvency Act, 1936
- Long-term Insurance Act, 1998
- Mutual Banks Act, 1993
- National Payment System Act, 1998
- Pension Funds Act, 1956
- Postal Services Act, 1998
- Prevention and Combating of Corrupt Activities Act, 2004
- Promotion of Administrative Justice Act, 2000
- Securities Services Act, 2004
- Short-term Insurance Act, 1998
- South African Reserve Bank Act, 1989
Documents citing this one 205
Gazette 165
- KwaZulu-Natal Provincial Gazette dated 2015-07-06 number 1401
- KwaZulu-Natal Provincial Gazette dated 2015-12-23 number 1572
- KwaZulu-Natal Provincial Gazette dated 2016-12-22 number 1776
- KwaZulu-Natal Provincial Gazette dated 2017-10-12 number 1886
- KwaZulu-Natal Provincial Gazette dated 2017-11-09 number 1898
- South Africa Government Gazette Regulation Gazette dated 2014-07-04 number 37784
- South Africa Government Gazette Regulation Gazette dated 2015-02-25 number 38509
- South Africa Government Gazette Regulation Gazette dated 2015-06-05 number 38845
- South Africa Government Gazette Regulation Gazette dated 2018-02-09 number 41433 part 1
- South Africa Government Gazette Regulation Gazette dated 2020-04-02 number 43199
- South Africa Government Gazette Regulation Gazette dated 2020-04-29 number 43258
- South Africa Government Gazette Regulation Gazette dated 2020-06-23 number 43466
- South Africa Government Gazette dated 2013-05-31 number 36485
- South Africa Government Gazette dated 2013-05-31 number 36494
- South Africa Government Gazette dated 2013-06-05 number 36531
- South Africa Government Gazette dated 2013-12-12 number 37158
- South Africa Government Gazette dated 2014-01-16 number 37237
- South Africa Government Gazette dated 2014-02-14 number 37344
- South Africa Government Gazette dated 2014-02-14 number 37345
- South Africa Government Gazette dated 2014-03-28 number 37487
- South Africa Government Gazette dated 2014-06-13 number 37734
- South Africa Government Gazette dated 2014-07-11 number 37805
- South Africa Government Gazette dated 2014-08-08 number 37895
- South Africa Government Gazette dated 2014-09-12 number 37979
- South Africa Government Gazette dated 2014-09-26 number 38026
- South Africa Government Gazette dated 2014-12-09 number 38284
- South Africa Government Gazette dated 2014-12-09 number 38315
- South Africa Government Gazette dated 2015-01-02 number 38369
- South Africa Government Gazette dated 2015-01-16 number 38388
- South Africa Government Gazette dated 2015-03-06 number 38540
- South Africa Government Gazette dated 2015-03-16 number 38569
- South Africa Government Gazette dated 2015-05-08 number 38768
- South Africa Government Gazette dated 2015-06-05 number 38844
- South Africa Government Gazette dated 2015-07-03 number 38953
- South Africa Government Gazette dated 2015-07-10 number 38960
- South Africa Government Gazette dated 2015-07-17 number 38998
- South Africa Government Gazette dated 2015-07-24 number 39025
- South Africa Government Gazette dated 2015-08-07 number 39074 part 1
- South Africa Government Gazette dated 2015-08-28 number 39139
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- South Africa Government Gazette dated 2015-09-18 number 39220 part 1
- South Africa Government Gazette dated 2015-10-09 number 39281
- South Africa Government Gazette dated 2015-10-16 number 39299
- South Africa Government Gazette dated 2015-10-23 number 39324 part 1
- South Africa Government Gazette dated 2015-11-20 number 39433
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- South Africa Government Gazette dated 2015-12-18 number 39531 part 1
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- South Africa Government Gazette dated 2016-02-03 number 39650
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- South Africa Government Gazette dated 2017-02-03 number 40593 part 1
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- South Africa Government Gazette dated 2019-11-01 number 42812 part 1
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- South Africa Government Gazette dated 2020-02-28 number 43050
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- South Africa Government Gazette dated 2020-04-24 number 43248
- South Africa Government Gazette dated 2020-06-19 number 43447
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- South Africa Government Gazette dated 2021-02-26 number 44191 part 1
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- South Africa Government Gazette dated 2022-01-28 number 45825
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- South Africa Government Gazette dated 2022-02-25 number 45954 part 1
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- South Africa Government Gazette dated 2022-04-08 number 46211
- South Africa Government Gazette dated 2022-04-22 number 46255 part 1
- South Africa Government Gazette dated 2022-04-29 number 46288 part 1
- South Africa Government Gazette dated 2022-05-06 number 46322 part 1
- South Africa Government Gazette dated 2022-05-12 number 46354
- South Africa Government Gazette dated 2022-05-27 number 46422 part 1
- South Africa Government Gazette dated 2022-06-01 number 46463
- South Africa Government Gazette dated 2022-06-01 number 46464
- South Africa Government Gazette dated 2022-06-03 number 46471 part 1
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- South Africa Government Gazette dated 2022-10-07 number 47257 part 1
- South Africa Government Gazette dated 2022-11-29 number 47596
- South Africa Government Gazette dated 2023-01-10 number 47852
- South Africa Government Gazette dated 2023-01-20 number 47883 part 1
- South Africa Government Gazette dated 2023-03-01 number 48157
- South Africa Government Gazette dated 2023-07-07 number 48923
- South Africa Government Gazette dated 2023-07-28 number 49028
- South Africa Government Gazette dated 2023-08-04 number 49079 part 1
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- South Africa Government Gazette dated 2023-11-24 number 49757
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- South Africa Government Gazette dated 2024-01-26 number 50041
- South Africa Government Gazette dated 2024-02-02 number 50071 part 1
Judgment 15
- Bester N.N.O. and Others v Mirror Trading International (Pty) Ltd and Others (15426/2021) [2023] ZAWCHC 38 (26 April 2023)
- Deighton v Financial Sector Conduct Authority and Others (15703/21) [2022] ZAGPPHC 828 (8 July 2022)
- Financial Sector Conduct Authority and Others v Deighton (15703/2021; A304/2022) [2024] ZAGPPHC 118 (7 February 2024)
- Fourie v Directorate of Market Abuse and Another (A 354/17) [2018] ZAGPPHC 601 (29 March 2018)
- Fourie v The Directorate of Market Abuse and Another (A 354/17) [2018] ZAGPPHC 183 (29 March 2018)
- Impact Financial Consultants CC and Another v Bam NO and Others (856/2019) [2021] ZASCA 54 (30 April 2021)
- JP Markets v FSCA (460/2021) [2021] ZASCA 148 (20 October 2021)
- Lombard v Eureka Ltd (707/2022) [2023] ZAWCHC 30 (23 March 2023)
- Recycling and Economic Development Initiative of South Africa v Minister of Environmental Affairs ; Kusaga Taka Consulting (Pty) Ltd v Minister of Environmental Affairs (1260/2017; 1279/2017; 187/2018; 188/2018) [2019] ZASCA 1 (24 January 2019)
- Siyakhula Sonke Empowerment Corporation (Pty) Ltd and Another v Redpath Mining (SA) (Pty) and Another (650/2022) [2022] ZAGPJHC 440 (15 July 2022)
- Siyakhula Sonke Empowerment Corporation (Pty) Ltd and Another v Redpath Mining (SA) (Pty) and Another (650/22) [2022] ZAGPJHC 891 (15 July 2022)
- Siyakhula Sonke Empowerment Corporation (Pty) Ltd and Another v Redpath Mining (South Africa) (Pty) Ltd and Another (650/22) [2022] ZAGPJHC 458 (15 July 2022)
- South African Enterprise Development (Pty) Ltd v Kerani BTW CC (7285/2021) [2022] ZAGPJHC 345 (1 June 2022)
- South African Enterprise Development (Pty) Ltd v Kerani BTW CC (7285/21) [2022] ZAGPJHC 933 (1 June 2022)
- Trustco Group Holdings Ltd v Financial Services Tribunal and Another (5640 of 2022) [2022] ZAGPPHC 988 (7 November 2022)
Legislation 25
- Accounting records to be maintained by a regulated person, 2013
- Annual report by a market infrastructure to the Registrar, 2013
- Application for approval of the acquisition or the holding of shares or any other interest in a market infrastructure, 2013
- Conditions for demutualisation, 2013
- Conditions for the amalgamation, merger, transfer or disposal of market infrastructures, 2013
- Conditions with which an exchange must comply when it includes securities issued by it in its own list, 2013
- Credit Rating Services Act, 2012
- Determination of Fit and Proper Requirements, 2017
- Directive and Guideline 1 of 2014: Infrastructures provided by companies facilitating trading in their own securities, 2014
- Disaster Management Act: Regulations relating to COVID-19
- Disaster Management Act: Regulations relating to COVID-19
- Financial Institutions (Protection of Funds) Act, 2001
- Financial Intelligence Centre Act, 2001
- Financial Sector Regulation Act, 2017
- Financial Sector and Deposit Insurance Levies Act, 2022
- Fit and proper requirements for market infrastructures, 2013
- Income Tax Act, 1962
- Joint Standard 1 of 2023: IT Governance and Risk Management for Financial Institutions, 2023
- KwaZulu-Natal Gaming and Betting Act, 2010
- Legal Aid South Africa Act, 2014
- Matters to be reported on by the auditor of a regulated person, 2013
- Prescribed fees, 2015
- Protection of Constitutional Democracy against Terrorist and Related Activities Act, 2004
- Requirements for the granting of a market infrastructure licence, 2013
- Trust Property Control Act, 1988