GAZETTE NOTICE NO. 4938

IN EXERCISE of powers conferred by section 11 (3) (e) and (f) and pursuant to section 27 (1) (a) of the Capital Markets Act, it is notified for general information that the Capital Markets Authority has granted the following approvals and licences to the companies set out in the schedule hereto: SCHEDULE Approved Institutions: Name of the Company Address Nature of Operatio 1. Acacia Fund Limited P.O. Box 43233 - 00100, Nairobi Venture Capital 2. Central Depositories and Settlement Corporation Limited P.O. Box 3464 - 00100, Nairobi Central Depository 3. Global Credit Rating Company P.O. Box 76667, Wendywood 2144, South Africa Credit Rating Agency 4. The Nairobi Stock Exchange P.O. Box 43633- 00100, Nairobi Securities Exchange Annual Licensees (for the period January 1, 2011 to December 31, 2011) Stockbrokers: Name Address Licence No. 1. ABC Capital Limited 2. Afrika Investment Bank Limited * 3. ApexAfrica Capital Limited 4. Drummond Investment Bank Limited * 5. Genghis Capital Limited 6. Kestrel Capital (E.A.) Limited 7. Kingdom Securities Limited 8. NIC Capital Securities Limited 9. Reliable Securities Limited 10. Sterling Investment Bank Limited * * These licensees are in the process of effecting a change of name to reflect their license status as Stockbrokers. Accordingly, this change of name shall be posted on the Authority website. P.O. Box 34137–00100,Nairobi P.O. Box 73253-00200, Nairobi P.O. Box 28987-00200, Nairobi P.O. Box 45465-00100, Nairobi P.O. Box 9959 – 00100, Nairobi P.O. Box 40005 – 00100, Nairobi P.O. Box 48231 – 00100, Nairobi P.O. Box 44599-00100, Nairobi P.O. Box 50338-00200, Nairobi P.O. Box 45080-00100, Nairobi 01/11 02/11 03/11 04/11 05/11 06/11 07/11 08/11 09/11 10/11 Investment Banks Name Address Licence No. 1. African Alliance Kenya Investment Bank Limited 2. Barclays Financial Services Limited 3. CBA Capital Limited 4. CFC Stanbic Financial Services Limited 5. Dyer and Blair Investment Bank Limited 6. Equity Investment Bank Limited 7. Faida Investment Bank Limited 8. NIC Capital Limited 9. Renaissance Capital (Kenya) Limited 10. Standard Investment Bank Limited 11. Suntra Investment Bank Limited P.O. Box 27639 -00506, Nairobi P.O. Box 30120 - 00100, Nairobi P.O. Box 30437–00100, Nairobi P.O. Box 47198 - 00100, Nairobi P.O. Box 45396 - 00100, Nairobi P. O. Box 74454- 00200, Nairobi P.O. Box 45236-00100, Nairobi P.O. Box 44599-00100, Nairobi P.O. Box 40560-00100, Nairobi P.O. Box 13714 - 00800, Nairobi P.O. Box 74016 - 00200, Nairobi 11/11 12/11 13/11 14/11 15/11 16/11 17/11 18/11 19/11 20/11 21/11 Extended licenses Equatorial Investment Bank Limited P.O. Box 52467-00200, Nairobi 16/10 Investment Advisers: Name Address Licence No. 1. Alliance Capital Partners Limited P.O. Box 12181 – 00100, Nairobi 22/11 2. Citidell Company Limited P.O. Box 185 – 00606, Nairobi 23/11 3. Cititrust Kenya Limited P.O. Box 30711–00100, Nairobi 24/11 4. Co-operative Consultancy Services (Kenya) Limited P.O. Box 48231–00100, Nairobi 25/11 5. Deloitte Financial Advisory Limited P.O. Box 30029-00100, Nairobi 26/11 6. Executive & Corporate Advisory Services Kenya Limited P.O. Box 72216–00200, Nairobi 27/11 7. Franklin Management Consultants Limited P.O. Box 61843-00200, Nairobi 28/11 8. Iroko Securities (Kenya) Limited P.O. Box 66249–00800, Nairobi 29/11 9. J.W. Seagon & Co. Limited P.O. Box 63420-00619, Nairobi 30/11 10. Lifestyle Management Limited P.O. Box 1342 – 00606, Nairobi 31/11 11. Loita Asset Management Limited P.O. Box 39466–00623, Nairobi 32/11 12. PricewaterhouseCoopers Associates Limited P.O. Box 43963 – 00100, Nairobi 33/11 13. Regnum Consultants Limited 14. Standard Chartered Securities (K) Limited P.O. Box 11431-00400, Nairobi P.O. Box 44286-00100, Nairobi 34/11 35/11 15. The ProFin Group (Kenya) Limited P.O. Box 9980 – 00100, Nairobi 36/11 16. Tsavo Securities Limited P.O. Box 9000-00100, Nairobi 37/11 17. VFS International (K) Limited P.O. Box 4–00621, Nairobi 38/11 18. Winton Investment Services Limited P.O. Box 607-00621, Nairobi 39/11 29th April, 2011 THE KENYA GAZETTE 1359 Fund Managers: Name Address Licence No. 1. Amana Capital Limited P.O. Box 9480-00100, Nairobi 40/11 2. Apollo Asset Management Company Limited P.O. Box 30389 – 00100, Nairobi 41/11 3. Aureos Kenya Managers Limited P.O. Box 43233- 00100, Nairobi 42/11 4. British American Asset Managers Limited P.O. Box 30375–00100, Nairobi 43/11 5. CIC Asset Management Limited P.O. Box 59485 – 00200, Nairobi 44/11 6. Co-optrust Investment Services Limited 7. Dry Associates Limited 8. FCB Capital Limited P.O. Box 48231–00100, Nairobi P.O. Box 684-00606, Nairobi P.O Box 26219-00100, Nairobi 45/11 46/11 47/11 9. Genesis (K) Investment Management Limited P.O. Box 79217–00200, Nairobi 48/11 10. ICEA Asset Management Limited P.O. Box 46143–00100, Nairobi 49/11 11. InvesteQ Capital Limited P.O. Box 56977-00200, Nairobi 50/11 12. Madison Asset Management Services Limited P.O. Box 20092 – 00200 Nairobi 51/11 13. Old Mutual Investment Services (K) Limited P.O. Box 30059–00100, Nairobi 52/11 14. Old Mutual Asset Managers (K) Limited 15. PineBridge Investments East Africa Limited 16. Sanlam Investment Management (K) Limited 17. Standard Chartered Investment Services Limited P.O. Box 30059-00100, Nairobi P.O. Box 67262 – 00200, Nairobi P.O. Box 7848-00100, Nairobi P.O. Box 30003–00100, Nairobi 53/11 54/11 55/11 56/11 18. Stanbic Investment Management Services (E.A.) Limited P.O. Box 30550–00100,Nairobi 57/11 19. Zimele Asset Management Company Limited P.O. Box 76528-00508, Nairobi 58/11 Authorized Depositories Name Address Licence No. 1. African Banking Corporation Limited 2. Barclays Bank of Kenya Limited P.O. Box 46452-00100, Nairobi P.O. Box 30120–00100, Nairobi 59/11 60/11 3. CFC Stanbic Bank Limited P.O. Box 72833–00200, Nairobi 61/11 4. Chase Bank (Kenya ) Limited 5. Co-operative Bank of Kenya Limited P.O. Box 66049 – 00800, Nairobi P.O. Box 48231-00100, Nairobi 62/11 63/11 6. Equatorial Commercial Bank Limited 7. Equity Bank Limited 8. I & M Bank Limited 9. Kenya Commercial Bank Limited 10. National Bank of Kenya Limited P.O. Box 52467-00200, Nairobi P.O. Box 75104 - 00200, Nairobi P.O. Box 30238-00100, Nairobi P.O. Box 30664–00100, Nairobi P.O. Box 72866–00200, Nairobi 64/11 65/11 66/11 67/11 68/11 11. NIC Bank Limited P.O. Box 44599 - 00100, Nairobi 69/11 12. Prime Bank Limited 13. Standard Chartered Bank Kenya Limited P.O. Box 43825- 00100, Nairobi P.O. Box 40984-00100, Nairobi 70/11 71/11 14. Transnational Bank Limited P.O. Box 34353-00100, Nairobi 72/11 Dealers: Name Address Licence No. 1. Equatorial Investment Bank Limited P.O. Box 52467-00200, Nairobi 73/11 Approved Collective Investment Schemes: 1. African Alliance Kenya Unit Trust Scheme: 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. Old Mutual Unit Trust Scheme: 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. 3. British-American Unit Trust Scheme: 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. 4. Stanbic Unit Trust Scheme: i. Stanbic Money Market Fund. ii. Stanbic Flexible Income Fund. iii. Stanbic Managed Prudential Fund. iv. Stanbic Equity Fund. 5. Commercial Bank of Africa Unit Trust Scheme: i. Commercial Bank of Africa Money Market Fund. ii. Commercial Bank of Africa Equity Fund. 6. Zimele Unit Trust Scheme: i. Zimele Balanced Fund. ii. Zimele Money Market Fund. 7. Suntra Unit Trust Scheme: i. Suntra Money Market Fund. ii. Suntra Equity Fund. iii. Suntra Balanced Fund. 8. ICEA Unit Trust Scheme: i. ICEA Money Market Fund. ii. ICEA Equity Fund. iii. ICEA Growth Fund. iv. ICEA Bond Fund. 9. Standard Investment Trust Funds: i. Standard Investment Equity Growth Fund. ii. Standard Investment Fixed Income Fund. iii. Standard Investment Balanced Fund. 10. CIC Unit Trust Scheme: i. CIC Money Market Fund. ii. CIC Balanced Fund. iii. CIC Fixed Income Fund. iv. CIC Equity Fund. 11. Madison Asset Unit Trust Funds: i Madison Asset Equity Fund. ii Madison Asset Balanced Fund. iii. Madison Asset Money Market Fund THE KENYA GAZETTE 29th April, 2011 iv. Madison Asset Treasury Bill Fund v. Madison Asset Bond Fund. 12. Dyer and Blair Unit Trust Scheme: 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. 13. Amana Unit Trust Funds Scheme: i. Amana Money Market Fund. ii. Amana Balanced Fund. iii. Amana Growth Fund. 14. CFC Unit Trust Fund: i. CFC Simba Fund. ii. CFC Money Market Fund. 15. Diaspora Unit Trust Scheme: i. Diaspora Money Market Fund. ii. Diaspora Bond Fund. iii. Diaspora Equity Fund. 16. First Ethical Opportunities Fund. Approved Employee Share Ownership Plans (ESOPS): 1. EABL Employee Share Ownership Plan. 2. Equity Employee Share Ownership Scheme. 3. KCB Employee Share Option Plan. 4. KENOL Employee Share Ownership Plan. 5. ARM Employee Share Ownership Plan. 6. AccessKenya Group Employee Share Ownership Plan. 7. Scangroup Employee Share Ownership Plan. 8. Safaricom Employee Share Ownership Plan. 9. Housing Finance Employee Share Ownership Plan. Dated the 29th April, 2011. G. WAINAINA, STELLA KILONZO, S T Director, Chief Executive, Capital Markets Authority Capital Markets Authority.