Service to our clients is paramount. Our Client Service Charter sets out the service standards that you can expect from us and how we will deliver these services to you. It outlines our service commitments to you, as well as what the Authority expects from you to enable us deliver a quality service.
Our purpose
Our purpose is to maintain proper standards of conduct and professionalism in the securities industry through registration, licensing and regulation of securities exchanges, investment advisers, securities brokers or dealers and their agents. We also approve all public offers in line with the CMA Act and ensure that investors are protected in the course of trading in securities within our capital market.
CMA recognizes that enhancing public education and awareness about securities is an important part of its mandate, and is one of the most effective regulatory tools. We will therefore continue to develop public education programs whose ultimate goal is to have all Ugandans benefit from participation in the capital market. Through developing good laws, we facilitate the removal of impediments to, and create incentives for long-term investment in productive enterprises.
How to Contact Us:
| info@cmauganda.co.ug | ||
| Physical and Postal address | Uganda Business Facilitation Center, 8th Floor 1 Baskerville Avenue ,Kololo | |
| Telephone | +256- 414- 342 788/91 +256- 312- 264 950/1 |
Service Charter
| Service | Requirements | Timelines* (Working Days) |
| GENERAL ADMINISTRATION FUNCTIONS | ||
| Response to written correspondence | Email, letter or any other written correspondence Complaints relating to your investments in capital markets, your dealings with licensed persons or with the Authority | 2 DAYS 7 DAYS |
| Response to oral inquiries | Any request for information | Immediate response |
| Refund for Fees and Levies | Submission of written request for refund for fees & levies | 5 DAYS |
| APPLICATION FOR LICENSES | ||
| Processing of New License Applications | Representative License Company License; Broker/Dealer Investment Advisor / Fund Manager/ Collective Investment Schemes | 21 DAYS 45 DAYS 45 DAYS 45 DAYS |
| Processing of License Renewal Applications | Complete Application | 45 DAYS |
| Communication on Replacement of Licenses | Written application for replacement of license detailing timing of loss of original license | 14 DAYS |
| CORPORATE ACTIONS & ISSUES | ||
| Issues and Approvals application | Debt Public Offerings Equity Public Offerings Rights Issues Bonus Issues Introductions/Cross Listings | 28 DAYS 35 DAYS 21 DAYS 14 DAYS 21 DAYS |
| MARKET DEVELOPMENT AND PUBLIC EDUCATION | ||
| Speaking engagements | Request a speaker from the CMA to discuss any capital markets related matters | 5 DAYS |
| MISCELLANEOUS | ||
| Response to notifications on announcements, adverts and marketing materials | Dependent on specific inquiry (may be submitted via post or email) | 2 DAYS |
*Timelines:Days start running after a complete application has been received and may vary depending on the nature of inquiry.
