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Date Number Title
17 Jan 2012 5 Form 5 - Application for Additional Regulated Activity under a Capital Markets Services LicenceForms
31 Dec 2015 4 Form 4 - Notification of Bankruptcy of Account HolderCentral Depository System Forms
01 Aug 2013 4 Form 4 - Application to Impose or Change Reporting FeeTrade Repositories Forms
09 Jun 2005 4 Form 4 - Statement of assets and liabilities, adjustend net capital, and segregation requirement and location of segregated fundsForms
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
27 Nov 2010 3D Form 3D - Notification of the Completion of Examination Requirements by a Provisional Rep (Hardcopy Format)Forms
17 Jan 2012 3C Form 3C - Notification for Appointment of a Temporary Representative (Hardcopy Format)Forms
27 Nov 2010 3B Form 3B - Notification for Appointment of a Provisional Representative (Hardcopy Format)Forms
24 Oct 2014 3A Form 3A - Notification for the Appointment of an Appointed Representative (Licensed Fund Management Companies)Forms
17 Jan 2012 3A Form 3A - Notification for Appointment of an Appointed Representative (Hardcopy Format)Forms
09 Jun 2005 3 Form 3 - Statement of assets and liabilities, and adjusted net capitalForms
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

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Last Modified on 26/11/2016