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Date Number Title
17 Jan 2012 1 Form 1 - Application for a Capital Markets Services Licence and Notice of ParticularsForms
23 Oct 2012 1 Form 1 - Application for a Capital Markets Services Licence and Notice of Particulars Forms
06 Sep 2007 1 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
01 Aug 2013 1 Form 1 - Application for Approval as an Approved Holding CompanyApproved Holding Companies Forms
01 Aug 2013 1 Form 1 - Application for Approval or RecognitionClearing Facilities Forms
30 Sep 2011 1 Form 1 - Application for Authorisation of a Collective Investment Scheme under Section 286(1) (Last updated on 30 Sep 2011)Collective Investment Schemes
01 Aug 2013 1 Form 1 - Application for Trade Repository Licence or Foreign Trade Repository LicenceTrade Repositories Forms
13 Jan 2014 1 Form 1 - General Lodgment Form (Offers of Business Trusts)Offers of Business Trusts
13 Jan 2014 1 Form 1 - General Lodgment Form (Offers of Shares and Debentures)Offers of Shares and Debentures
20 Dec 2006 1 Form 1 - Statement of assets and liabilitiesForms
31 Dec 2015 1 Form 1 - Notification of Death or Dissolution of Account HolderCentral Depository System Forms
01 Jul 2005 10 Form 10 - Notice calling for claims against fidelity fund of an approved exchange under section 188(1) of the Securities and Futures Act (Cap. 289)Markets Forms
23 Oct 2012 10 Form 10 - Notice for Change of Principal Place of Business / Notice for Change of Place at which Register of Interests in Securities is KeptForms
17 Jan 2012 10 Form 10 - Notice for Change of Principal Place of Business / Notice for Change of Place at which Register of Interests in Securities is KeptForms
09 Jun 2005 10 Form 10 -Statement of exposure to margin customersForms
31 Dec 2015 10 Form 10 - Sub-ChargeCentral Depository System Forms
17 Jan 2012 11 Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to ExecutiveForms
18 Oct 2016 11 Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive (For Licensed Fund Management Companies)Forms
01 Jul 2005 11 Form 11 - Notice of disallowance of claim against fidelity fund of an approved exchange under section 189(4) of the Securities and Futures Act (Cap. 289)Markets Forms
31 Dec 2015 11 Form 11 - Re-assignmentCentral Depository System Forms
09 Jun 2005 11 Form 11 - Statement of exposure to margined single securityForms
31 Dec 2015 12 Form 12 - Discharge of ChargeCentral Depository System Forms
31 Dec 2015 13 Form 13 - Discharge of Sub-ChargeCentral Depository System Forms
26 Nov 2010 13 Form 13 - Risk Disclosure Statement Required to be Furnished and Kept by the Holder of a Capital Markets Services Licence to Trade in Futures Contracts or Leveraged Foreign Exchange ContractsForms
31 Dec 2015 14 Form 14 - Approval for Change in Depository FeeCentral Depository System Forms
26 Nov 2010 14 Form 14 Risk Disclosure Statement Required to be Furnished under Regulation 47E(2) and to be kept under Regulation 39(2)(d) by the holder of a Capital Markets Services Licence for Fund Management relating to Management of Portfolio of Futures Contracts, and Foreign ExchangeForms
23 Oct 2012 15 Form 15 - Register of Interests in Securities Forms
26 Nov 2010 15A Form 15A - Register of Interests in Extended Settlement ContractsForms
27 Nov 2010 16 Form 16 - Notification to Change Particulars for a Representative (Hardcopy Format)Forms
01 Jul 2005 17 Form 17 - Notice Calling for Claims against Deposit lodged with the AuthorityForms
16 Sep 2015 1A Form 1A - Application for a Capital Markets Services Licence for Fund Management Company Forms
30 Oct 2013 1A Form 1A - Notification on Becoming a Significant Derivatives HolderReporting of Derivatives Contracts Forms
30 Oct 2013 1B Form 1B - Notification on Ceasing to be a Significant Derivatives HolderReporting of Derivatives Contracts Forms
20 Oct 2017 1V Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
30 Sep 2011 2 Form 2 - Application for Recognition of a Collective Investment Scheme under Section 287(1) (Last updated on 30 Sep 2011)Collective Investment Schemes
01 Jul 2005 2 Form 2 - Information on chief executive officer and directorsMarkets Forms
01 Aug 2013 2 Form 2 - Information on Chief Executive Officer and DirectorsApproved Holding Companies Forms
01 Aug 2013 2 Form 2 - Information on Chief Executive Officer and DirectorsTrade Repositories Forms
01 Aug 2013 2 Form 2 - Information on Chief Executive Officer and DirectorsClearing Facilities Forms
31 Dec 2015 2 Form 2 - Notification of Death or Dissolution of Sub-Account HolderCentral Depository System Forms
20 Dec 2006 2 Form 2 - Statement of financial resources, total risk requirement and aggregate indebtednessForms
26 Nov 2010 20 Form 20 - Notice of Cessation of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
26 Nov 2010 21 Form 21 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
01 Apr 2013 22 Form 22 - Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
07 Jan 2013 22A Form 22A - Notice of Commencement of Business as a Registered Fund Management Company Forms
26 Nov 2010 23 Form 23 - Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance Forms
26 Nov 2010 23 Form 23- Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance Forms
11 Jan 2017 23A Form 23A - Notice of Change of Particulars for Registered Fund Management Company Forms
26 Nov 2010 24 Form 24 - Notice of Cessation of Business by Persons Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
07 Jan 2013 24A Form 24A - Notice of Cessation of Business as a Registered Fund Management Company Forms
26 Nov 2010 25 Form 25 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
11 Dec 2017 25A Form 25A- Annual Declaration by a Registered Fund Management Company or a Venture Capital Fund ManagerForms
07 May 2013 25B Form 25B - Auditor's Report for a Registered Fund Management CompanyForms
26 Nov 2010 26 Form 26 - Notice of Commencement of Business/ Additional Regulation Activity(s) by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 27 Form 27 - Notice of Change of Particulars by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 28 Form 28 - Declaration by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 29 Form 29 - Notice of Cessation of Business / any Regulated Activity(s) by a Persons Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
01 Nov 2016 3 Form 3 - Application for Approval to Act as a Trustee for Collective Investment Schemes under Section 289(1)Collective Investment Schemes
01 Jul 2005 3 Form 3 - Information on shareholders and subsidiariesMarkets Forms
01 Aug 2013 3 Form 3 - Information on Shareholders and SubsidiariesApproved Holding Companies Forms
01 Aug 2013 3 Form 3 - Information on Shareholders and SubsidiariesTrade Repositories Forms
01 Aug 2013 3 Form 3 - Information on Shareholders and SubsidiariesClearing Facilities Forms
31 Dec 2015 3 Form 3 - Notification of Death or Dissolution of Joint Account HolderCentral Depository System Forms
09 Jun 2005 3 Form 3 - Statement of assets and liabilities, and adjusted net capitalForms
17 Jan 2012 3A Form 3A - Notification for Appointment of an Appointed Representative (Hardcopy Format)Forms
24 Oct 2014 3A Form 3A - Notification for the Appointment of an Appointed Representative (Licensed Fund Management Companies)Forms
27 Nov 2010 3B Form 3B - Notification for Appointment of a Provisional Representative (Hardcopy Format)Forms
17 Jan 2012 3C Form 3C - Notification for Appointment of a Temporary Representative (Hardcopy Format)Forms
27 Nov 2010 3D Form 3D - Notification of the Completion of Examination Requirements by a Provisional Rep (Hardcopy Format)Forms
01 Aug 2013 4 Form 4 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonApproved Holding Companies Forms
01 Aug 2013 4 Form 4 - Application for Change in StatusClearing Facilities Forms
06 Sep 2007 4 Form 4 - Application for exemption from the requirement to be an approved exchange or a recognised market operatorMarkets Forms
01 Aug 2013 4 Form 4 - Application to Impose or Change Reporting FeeTrade Repositories Forms
31 Dec 2015 4 Form 4 - Notification of Bankruptcy of Account HolderCentral Depository System Forms
09 Jun 2005 4 Form 4 - Statement of assets and liabilities, adjustend net capital, and segregation requirement and location of segregated fundsForms
17 Jan 2012 5 Form 5 - Application for Additional Regulated Activity under a Capital Markets Services LicenceForms
01 Aug 2013 5 Form 5 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonTrade Repositories Forms
01 Jul 2005 5 Form 5 - Application for change in statusMarkets Forms
01 Aug 2013 5 Form 5 - Application to Impose or Change Clearing FeeClearing Facilities Forms
31 Dec 2015 5 Form 5 - Notification of Bankruptcy of Sub-Account HolderCentral Depository System Forms
20 Dec 2006 5 Form 5 - Statement of financial resources and total risk requirementForms
01 Aug 2013 6 Form 6 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonClearing Facilities Forms
15 Oct 2005 6 Form 6 - General Lodgment Form (Offers of Collective Investment Scheme)Collective Investment Schemes
01 Jul 2005 6 Form 6 - Monthly statistics to be submitted by an approved exchange operating a securities marketMarkets Forms
31 Dec 2015 6 Form 6 - Notification of Transmission of Title by Court OrderCentral Depository System Forms
17 Jan 2012 6 Form 6 - Notification to Add Activity(ies) of a Representative (Hardcopy Format)Forms
20 Dec 2006 6 Form 6 - Statement relating to the accounts of a holder of a capital markets services licenceForms
16 Feb 2006 7 Form 7 - Auditors report - for a holder of a capital markets services licenceForms
17 Jan 2012 7 Form 7 - Notice of Cessation of BusinessForms
09 Mar 2010 7 Form 7 - Notice to Dissenting Participant Under Section 295A(1)Collective Investment Schemes
31 Dec 2015 7 Form 7 - Notification of Transmission of Title by Court Order Sub-AccCentral Depository System Forms
01 Jul 2005 7 Form 7 - Quarterly statistics to be submitted by an approved exchange operating a securities marketMarkets Forms
31 Dec 2015 8 Form 8 - AssignmentCentral Depository System Forms
09 Jun 2005 8 Form 8 - Auditors Certification - for a holder of a capital markets services licenceForms
01 Jul 2005 8 Form 8 - Monthly statistics to be submitted by an approved exchange operating a futures marketMarkets Forms
09 Mar 2010 8 Form 8 - Notice to Non-Assenting Participant Under Section 295A(4)Collective Investment Schemes
17 Jan 2012 8 Form 8 - Notification for the Cessation of a Representative in any or all of the Regulated Activities (Hardcopy Format)Forms
30 Dec 2009 9 Form 9 - Application for appointment of chairman, chief executive officer director, or key personsMarkets Forms
31 Dec 2015 9 Form 9 - ChargeCentral Depository System Forms
09 Jun 2005 9 Form 9 - Statement of aggregate margin exposure to single securities exchangeForms

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Last Modified on 26/11/2016