DAFTAR ISI

Cover ..............................................................................................................................
Daftar Isi .........................................................................................................................
Peta Konsep ....................................................................................................................
Regulasi Terkait Perusahaan Efek ................................................................................ 1
1. Definisi Perusahaan Efek ............................................................................... 1
2. Jenis Perusahaan Efek Berdasarkan Kepemilikan ........................................... 1
2.1 Menurut PP No.45 Tahun 1995 ............................................................... 1
2.2 Menurut POJK No. 20/POJK.04/2016 ................................................... 2
3. Syarat Permodalan Perusahaan Efek ........................................................... 2
3.1 Efek Menurut PP No 45 Tahun 1995 ...................................................... 2
3.2 Syarat POJK No. 20/POJK.04/2016 ....................................................... 3
3.3 Modal Kerja Bersih Disesuaikan (MKBD) ............................................ 3
4. Kegiatan yang Dilakukan Perusahaan Efek .............................................. 10
1) Perusahaan Efek sebagai Perantara Pedagang Efek .......................... 10
2) Penjamin Emisi Efek .............................................................................. 10
3) Manajer Investasi .................................................................................. 10
5. Perizinan ........................................................................................................ 10
5.1 Tata cara Permohonan Perizinan Perusahaan ..................................... 10
5.2 Persyaratan Permohonan Perizinan Perusahaan.................................. 11
6. Larangan Bagi Perusahaan Efek ................................................................ 15
6.1 Larangan terkait Perizinan ..................................................................... 15
6.2 Larangan terkait Kepemilikan ................................................................ 15
6.3 Larangan terkait Pengendalian .............................................................. 16
6.4 Larangan terkait Anggota Direksi & Komisaris .................................... 16
7. Pengendalian dan Perlindungan Efek ........................................................ 16
7.1 Kewajiban Perusahaan Efek ................................................................... 16
7.2 Perlindungan Efek Nasabah ................................................................... 17
8. Pengendalian Internal Perusahaan Efek .................................................... 18
8.1 Fungsi-Fungsi sebagai Perantara Pedagang Efek ............................... 18
8.2 Outsourcing Fungsi PPE ........................................................................ 19
8.3 Ketentuan Apabila Terdapat Permasalahan ....................................... 20
 8.4 Ketentuan Lainnya ................................................................................. 20
Kesimpulan ............................................................................................................... 21

Referensi .................................................................................................................... 22