Background
Prakas No. 040, dated 12 May 2026, was adopted by the Non-Bank Financial Services Authority to establish conditions and procedures for authorizing and renewing authorization of introducing agents in the securities sector. The measure defines the duties and procedural requirements that apply to introducing agents and related persons operating within the Kingdom of Cambodia.
The SERC has stated that persons who intend to act as introducing agents must submit authorization applications to the Securities and Exchange Regulator of Cambodia using forms and supporting documents prescribed by the SERC. The regulator published contact details for its Securities Intermediaries Supervision Department to receive inquiries and applications.
Scope of Application
The Prakas applies to natural persons and entities seeking to perform the role of introducing agent in the securities market and to related persons engaged in activities covered by the authorization framework. The instrument covers both initial authorizations and renewals and identifies the administrative relationship between the applicant, the SERC, and the non-bank financial authority that issued the Prakas.
Key Provisions or Decisions
Prakas No. 040 sets out procedural requirements for submitting authorization requests and specifies that the SERC will receive the prescribed forms and attachments for assessment. The instrument also establishes obligations for authorized introducing agents regarding their conduct and administrative duties, as articulated by the issuing authority.
Implications for Investors, Businesses, or Compliance
Entities that rely on introducing agents should verify that intermediaries hold valid authorization issued through the SERC application process; firms that engage prospective introducing agents must ensure candidates submit the required documentation. Compliance teams and market participants will need to update intake and due-diligence procedures to reflect the Prakas’ authorization and renewal requirements.
Official Source
Official notice posted by the Securities and Exchange Regulator of Cambodia; SERC contact for the Securities Intermediaries Supervision Department: phone 023 885 611, email intermediaries@serc.gov.kh. Original announcement available at the SERC social media post: https://www.facebook.com/serc.gov.kh/posts/pfbid02h32bN1mjsEdQGx1YSavAAMC81YoeLtsFN4dTogArQ9MSjfGAL3PfUPHoKkbEn3qVl
