Capital Market Transaction Overview

Corporate Bodies and Individuals who facilitate securities transactions. INTERMEDIARIES IN CAPITAL MARKET Issuing houses: financial institution that arranges and underwrites the issue of new stocks and shares on behalf of corporate clients on the stock exchange, provides financial advice to companies and government, determines pricing in conjunction with the issuer, prepares offer documents to be filed with SEC, marketing of offer Stock brokers/Dealers: individuals/firms who buy and sell securities on behalf of clients for a fee/commission Investment Advisers: provide investment advisory services to clients, make recommendations on the types of securities to buy, publication of financial market periodicals Portfolio/Fund Managers: responsible for investing a fund's assets, implementing its investment strategies and managing the day-day portfolio trading Registrars: bank or company responsible for keeping detailed record of bond holders and shareholders after an issuer offers securities to the public, update register of subscribers. Trustees: impartial third-party saddled with the responsibility of protecting conflicting interests between the issuer and investor in the financial market

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