GAZETTE NOTICE NO. 3259

IN EXERCISE of powers conferred by section 11 (3) (e) and (/) and pursuant to section 27 (1) (a) of the Capital Markets Act, it is notified for general information that the companies and entities set out in the schedule hereto are licensed/authorized by the Capital Markets Authority to operate in the various categories as indicated in the schedule: APPROVED INSTITUTIONS Name of Company Address Nature of Operation The Nairobi Securities Exchange P.O. Box 43633- 00100, Nairobi Securities Exchange Central Depositories and Settlement Corporation Limited P.O. Box 3464 - 00100, Nairobi Central Depository Agusto and Company Limited P.O. Box 56136, Ikoyi Lagos, Nigeria Credit Rating Agency Metropol Corporation Limited P.O. Box 35331 - 00200, Nairobi Credit Rating Agency Global Credit Rating Company 1st Floor, GFin Tower, 42 Hotel Street, Cyber City, Ebene, 72201, Mauritius Credit Rating Agency Care Ratings (Africa) Private Limited 1st Floor, MTML Square 63 Cybercity, Ebene Credit Rating Agency A.M Best Europe - Rating Services Limited (AMBERS) 6th Floor, 12 Arthur Street, London EC 4R 9AB, UK Credit Rating Agency INVESTMENT BANKS Name Address License No. 1 African Alliance Kenya Investment Bank Limited P.O. Box 27639, Nairobi 001 2 Barclays Financial Services Limited P.O. Box 30120-00100, Nairobi 002 3 CBA Capital Limited P.O. Box 30437-00100, Nairobi 003 4 Dyer and Blair Investment Bank Limited P.O. Box 45396-00100, Nairobi 004 5 Equity Investment Bank Limited P.O. Box 74454-00200, Nairobi 005 6 Faida Investment Bank Limited P.O. Box 45236-00100, Nairobi 006 7 Genghis Capital Limited P.O. Box 9959-00100, Nairobi 007 8 KCB Capital Limited P.O. Box 48400-00101, Nairobi 008 9 NCBA Investment Bank Limited P.O. Box 44599-00100, Nairobi 009 10 Renaissance Capital (Kenya) Limited P.O. Box 40560-00100, Nairobi 010 11 SBG Securities Limited P.O. Box 47198-00100, Nairobi 011 12 Standard Investment Bank Limited P.O. Box 13714-00800, Nairobi 012 13 Kestrel Capital (East Africa) Limited P.O. Box 40005-00100, Nairobi 091 14 Sterling Capital Limited P.O. Box 45080-00100, Nairobi 021 15 Dry Associates Investment Group P.O Box 684-00606, Nairobi 114 16 Salaam Investment Bank Kenya Limited P.O. Box 14939-00100, Nairobi 115 STOCKBROKERS Name Address License No. 1 ABC Capital Limited P.O. Box 34137-00100, Nairobi 013 2 AIB Capital Limited P.O. Box 11019-00100, Nairobi 014 3 Apex Africa Capital Limited P.O. Box 43676-00100, Nairobi 015 4 Francis Drummond & Company Limited P.O. Box 45465-00100, Nairobi 016 5 Kingdom Securities Limited P.O. Box 48231-00100, Nairobi 018 6 NIC Securities Limited P.O. Box 63046-00200, Nairobi 019 7 Old Mutual Securities Limited P.O. Box 50338-00200, Nairobi 020 8 Suntra Investments Limited P.O. Box 74016-00200, Nairobi 022 9 Securities Africa Kenya Limited P.O. Box 43633 - 00100, Nairobi 100 10 EFG Hermes Kenya Limited P.O. Box 349 - 00623, Nairobi 105 9th April, 2021 NON-DEALING ONLINE FOREIGN EXCHANGE BROKERS Name Address License No. I EGM Securities Limited (trading as "FXPesa") P.O. Box 57876-00200, Nairobi 107 2 SCFM Limited (trading as "Scope Markets") P.O. Box 40719-00200, Nairobi 123 3. Pepperstone Markets Kenya Limited P.O Box 3085-00100 128 ONLINE FOREIGN EXCHANGE MONEY MANAGER 1 Standard Investment Bank Limited (trading as "MANSA P.O. Box 13714-00800, Nairobi 116 X") AUTHORISED SECURITIES DEALERS Name Address License No. 2 Standard Chartered (Kenya) Plc P.O. Box 30003 - 00100, Nairobi 109 3 SBM Bank (Kenya) Limited P.O. Box 34886-00100, Nairobi 122 FUND MANAGERS Name Address License No. 1 Alpha Africa Asset Managers P.O. Box 34530-00100, Nairobi 023 2 Amana Capital Limited P.O. Box 9480-00100, Nairobi 024 3 Apollo Asset Management Company Limited P.O. Box 30389, Nairobi 025 4 Britam Asset Managers (Kenya) Limited P.O. Box 30375-00100, Nairobi 027 5 Metropolitan Cannon Asset Managers Limited P.O. Box 30216-00100, Nairobi 028 6 Nabo Capital Limited P.O. Box 10518-00100, Nairobi 029 7 CIC Asset Management Limited P.O. Box 59485-00200, Nairobi 030 8 Co-op Trust Investment Services Limited P.O. Box 48231-00100, Nairobi 031 9 FCB Capital Limited P.O. Box 26219-00100, Nairobi 033 10 Fusion Investment Management Limited P.O. Box 47538-00100, Nairobi 034 11 GenAfrica Asset Managers Limited P.O. Box 79217-00200, Nairobi 035 12 ICEA Lion Asset Management Limited P.O. Box 46143-00100, Nairobi 036 13 Madison Investment Managers Limited P.O. Box 20092-00100, Nairobi 037 14 Old Mutual Investment Group Limited P.O. Box 11589-00400, Nairobi 038 15 Sanlam Investments East Africa Limited P.O. Box 67262-00100, Nairobi 040 16 Standard Chartered Investment Services Limited P.O. Box 30003-00100, Nairobi 042 17 Stanlib Kenya Limited P.O. Box 30550-00100, Nairobi 043 18 Zimele Asset Management Company Limited P.O. Box 76528-00508, Nairobi 045 19 Natbank Trustee and Investment Services Limited P.O Box 72866 - 00200 Nairobi 087 20 Allan Gray (Kenya) Limited P.O BOX 63946 - 00619 Nairobi 101 21 Cytonn Asset Managers Limited P.O Box 20295-00200, Nairobi 108 22 Altree Capital Kenya Limited P.O. Box 2607-00200 Nairobi 110 23 Jubilee Financial Services Limited P.O. Box 303-00100, Nairobi 119 24 Absa Asset Management Limited P.O. Box 30120-00200 Nairobi 129 INVESTMENT ADVISERS 1 Bora Capital Limited P.O. Box 26718-00200, Nairobi 046 2 I & M Burbidge Capital Limited P.O. Box 51525-00100, Nairobi 047 3 Co-op Consultancy and Insurance Agency Limited P.O. Box 48231-00100, Nairobi 050 4 Deloitte Financial Advisory Limited P.O. Box 40092-00100, Nairobi 051 5 Lifestyle Management Limited P.O. Box 1342-00606, Nairobi 054 6 PriceWaterhouseCoopers Associates P.O. Box 43963-00100, Nairobi 056 7 The Profin Group (K) Limited P.O. Box 9980-00100, Nairobi 059 8 Liaison Financial Services Limited P.O Box 58013 - 00200 Nairobi 095 9 Waugh McDonald Wealth Management Limited P.O Box 1896 - 00606 Nairobi 103 10 Aylesfield (Kenya) Limited P.O Box 1380 - 00621 Nairobi 104 11 Ace Financial Advisory Limited P.O. Box 15916-80100, Mombasa 111 12 Synesis Capital Limited P.O. Box 75282-00200 Nairobi 112 13 AFG Wealth Kenya Limited P.O. Box 764-00606, Nairobi 124 14 Virtual Capital International Limited 6th Floor, Prosperity House, Westlands Road, Nairobi AUTHORISED DEPOSITORIES Name Address License No. 1 African Banking Corporation Limited P.O. Box 46452-00100, Nairobi 062 2 Bank of Africa Kenya Limited P.O. Box 69562-00400, Nairobi 063 3 Barclays Bank of Kenya Limited P.O. Box 30120-00100, Nairobi 064 4 Stanbic Bank Kenya Limited P.O. Box 30550-00100, Nairobi 065 6 Co-operative Bank of Kenya Limited P.O. Box 48231-00100, Nairobi 067 7 Equity Bank Limited P.O. Box 75104-00200, Nairobi 068 8 I & M Bank Limited P.O. Box 30238-00100, Nairobi 069 9 Kenya Commercial Bank Limited P.O. Box 30664-00100, Nairobi 070 Name Address License No. 10 National Bank of Kenya Limited P.O. Box 72866-00200, Nairobi 071 11 NIC Bank Kenya PLC P.O. Box 44599-00100, Nairobi 072 12 Prime Bank Limited P.O. Box 43825-00100, Nairobi 073 13 Standard Chartered Bank (Kenya) Plc P.O. Box 30003-00100, Nairobi 074 14 Transnational Bank Limited P.O. Box 34353-00100, Nairobi 075 15 HFC Limited P.O. Box 30088-00100, Nairobi 113 16 Gulf African Bank Limited P.O. Box 43683-00100, Nairobi 117 17 Credit Bank Limited P.O. Box 61064-00200, Nairobi 120 18 SBM Bank (Kenya) Limited P.O. Box 34886-00100, Nairobi 121 19 NCBA Bank Kenya Plc P.O. Box 44599-00100, Nairobi 126 REIT MANAGERS 1 Nabo Capital Limited P.O. Box 10518-00100, Nairobi 076 2 CIC Asset Management Limited P.O. Box 59485-00200, Nairobi 080 3 Fusion Investment Management Limited P.O. Box 47538-00100, Nairobi 081 4 Stanlib Kenya Limited P.O. Box 30550- 00100, Nairobi 082 5 ICEA Lion Asset Management Limited P.O Box 46143 - 00100 Nairobi 092 6 Sterling REIT Asset Management Limited P.O Box 45080 - 00100 Nairobi 097 7 H.F. Development and Investment Limited P.O. Box 30088 -00100 098 8 Britam Asset Managers Limited P.O. Box 30375 - 00100, Nairobi 106 9. Cytonn Asset Managers Limited P.O Box 20295-00200, Nairobi 118 REIT TRUSTEES 1 Housing Finance Company (K) Limited P.O. Box 30088-00100, Nairobi 088 2 Co-operative Bank of Kenya Limited P.O. Box 48231-00100, Nairobi 089 3 Kenya Commercial Bank Limited P.O. Box 30664-00100, Nairobi 090 REAL ESTATE INVESTMENT TRUSTS (REITS) 1 I Stanlib Fahari I-REIT P.O. Box 30550-00100 4/2015 COLLECTIVE INVESTMENT SCHEMES 1. African Alliance Kenya Unit Trust Scheme - No. 01/2003, comprising of: (i) African Alliance Kenya Shilling Fund (ii) African Alliance Kenya Fixed Income Fund (iii) African Alliance Kenya Managed Fund (iv) African Alliance Kenya Equity Fund 2. British-American Unit Trust Scheme, comprising of: (i) British-American Money Market Fund (ii) British-American Income Fund (iii) British-American Balanced Fund (iv) British-American Managed Retirement Fund (v) British-American Equity Fund 3. Stanbic Unit Trust Scheme, comprising of: (i) Stanbic Money Market Fund (ii) Stanbic Fixed Income Fund (iii) Stanbic Managed Prudential Fund (iv) Stanbic Equity Fund (v) Stanbic Balanced Fund 4. NCBA Unit Trust Scheme, comprising of: (i) NCBA Money Market Fund (ii) NCBA Equity Fund (iii) NCBA Dollar Investment Fund (CBA DIF) 5. Zimele Unit Trust Scheme, comprising of: (i) Zimele Balanced Fund (ii) Zimele Money Market Fund 6. ICEA Unit Trust Scheme, comprising of: (i) ICEA Money Market Fund (ii) ICEA Equity Fund (iii) ICEA Growth Fund (iv) ICEA Bond Fund 7. Standard Investment Trust Funds, comprising of; (i) Standard Investment Equity Growth Fund (ii) Standard Investment Fixed Income Fund (iii) Standard Investment Balanced Fund 8. CIC Unit Trust Scheme, comprising of; (i) CIC Money Market Fund (ii) CIC Balanced Fund 9th April, 2021 (iii) CIC Fixed Income Fund (iv) CIC Equity Fund (v) CIC Wealth Fund 9. Madison Unit Trust Fund - No. 11/2011, comprising of: (i) Madison Asset Equity Fund (ii) Madison Asset Balanced Fund (iii) Madison Asset Money Market Fund (iv) Madison Asset Treasury Bill Fund (v) Madison Asset Bond Fund 10. Dyer and Blair Unit Trust Scheme, comprising of: (i) Dyer and Blair Diversified Fund (ii) Dyer and Blair Bond Fund (iii) Dyer and Blair Money Market Fund (iv) Dyer and Blair Equity Fund 11. Amana Unit Trust Funds Scheme, comprising of: (i) Amana Money Market Fund (ii) Amana Balanced Fund (iii) Amana Growth Fund 12. Diaspora Unit Trust Scheme, comprising: (i) Diaspora Money Market Fund (ii) Diaspora Bond Fund (iii) Diaspora Equity Fund 13. First Ethical Opportunities Fund 14. Genghis Unit Trust Funds, comprising of: (i) GenCap Hazina Fund (Bond Fund) (ii) GenCap Eneza Fund (Diversified Fund) (iii) GenCap Hela Fund (Money Market Fund) (iv) GenCap Iman Fund (Shariah Compliant Fund) (v) GenCap Hisa Fund (Equity Fund) (vi) GenCap Hela Imara Fund (Money Market Fund) 15. Sanlam Unit Trust Scheme, comprising of: (i) Sanlam Money Market Fund (Sanlam Pesa Plus Fund) (ii) Sanlam Dividend Plus Fund (Sanlam Faida Plus Fund) (iii) Sanlam Balanced Fund (Sanlam Chama Plus Fund) 16. Nabo Africa Funds, comprising of: (1) Nabo Africa Money Market Fund (USD) (ii) Nabo Africa Balanced Fund (USD) (iii) Nabo Africa Fixed Income Fund (USD) (iv) Nabo Africa Equity fund (USD) (v) Nabo Capital Money Market Fund (KES) (vi) Nabo KES Fixed Income Fund (KES) 17. Old Mutual Unit Trust Scheme, comprising of: (i) Old Mutual Equity Fund (ii) Old Mutual Money Market Fund (iii) Old Mutual Balanced Fund (iv) Old Mutual East Africa Fund (v) Old Mutual Bond Fund 18. Equity Investment Bank Collective Investment Scheme, comprising; (i) Equity Investment Bank Money Market Fund (ii) Equity Investment Bank Balanced Fund 19. Dry Associates Unit Trust Scheme comprising of: (i) Dry Associates Money Market Fund (Kenya Shillings) (ii) Dry Associates Money Market Fund (US Dollars) (iii) Dry Associates Balanced Fund (Kenya Shillings) 20. Co-op Trust Fund comprising of: (i) Co-op Balanced Fund (ii) Co-op Equity Fund (iii) Co-op Bond Fund (iv) Co-op Money Market Fund 21. Apollo Unit Trust Scheme comprising of: (i) Apollo Money Market Fund (ii) Apollo Balanced Fund (iii) Apollo Aggressive Growth Fund (iv) Apollo Equity Fund (v) Apollo East Africa Fund (vi) Apollo Bond Fund 22. Cytonn Unit Trust Scheme comprising of: (i) Cytonn Money Market Fund (ii) Cytonn Balanced Fund (iii) Cytonn Equity Fund (iv) Cytonn Africa Financial Services Fund (v) Cytonn Money Market Fund (USD) (vi) Cytonn High Yield Fund 23. Alphafrica Umbrella Fund comprising of: (i) Alphafrica Hifadhi Fixed Income Fund (ii) Alphafrica Kasha Money Market Fund 24. Wanafunzi Investment Unit Trust Fund EMPLOYEE SHARE OWNERSHIP PLANS (ESOPS) 1. ARM Employee Share Ownership Plan 2. EABL Employee Share Ownership Plan 3. Equity Employee Share Ownership Scheme 4. Housing Finance Employee Share Ownership Plan 5. I&M Bank Employee Share Ownership Plan 6. KCB Employee Share Option Plan 7. KENOL Employee Share Ownership Plan 8. Kenya Airways Employee Share Ownership Plan 9. Kenya Airways 2017 Group Employee Share Ownership Scheme 10. Safaricom Employee Share Ownership Plan 11. Scangroup Employee Share Ownership Plan 12. Car & General Employee Share Ownership Plan 13. Standard Group Limited Employee Share Ownership Plan 14. Longhorn Publishers Limited, Employee Share Ownership Plan 15. Britam Holdings Plc Employee Share Ownership Plan 16. Nairobi Securities Exchange Plc Employee Share Ownership Plan — Unit Trust Dated the 16th March, 2021. WYCKLIFFE SHAMIAH, MR/1666557 Chief Executive, Capital Markets Authority.