Provision of the Securities and Futures Act (Cap 289) and the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg 10)
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Description of forms
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Form Number
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Sections 84 (1)
and 132 (1)
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Application for a capital markets services licence under section 84 (1) and notice of particulars under section
132 (1) |
1
(PDF, 40KB)
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| Section 84 (1) |
Application for renewal of a capital markets services licence under section 84 (1) |
2
(PDF, 32KB)
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Section 84 (1)
and (4) |
Application for a representative's licence under section 84 (1) and (4) |
3
(PDF, 41KB)
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Section 84 (1)
and (4) |
Application for renewal of a representative's licence under section 84 (1) and (4) |
4
(PDF, 32KB)
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| Section 87A(1) and (6)(b) and regulation 3A(2) |
Application for a temporary representative's licence under section 87A(1) and undertaking by holder of capital markets services licence |
4A
(PDF, 45KB)
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| Section 90 (1) |
Application for additional regulated activity under a capital markets services licence under section 90 (1) |
5
(PDF, 37KB)
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Section 90 (1)
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Application for additional regulated activity under a representative's licence under section 90 (1) |
6
(PDF, 33KB)
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| Sections 93 (1) and 132 (3) and regulation 11 (1) or (2) |
Notice of cessation of business under section 93 (1) and regulation 11 (1) or (2)/Notice of cessation as a person to whom Division 1 of Part VII of Act applies under section 132 (3) |
7
(PDF, 23KB)
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Sections 93 (1) and 132 (3) and
regulation 11 (3) or (4) |
Notice of cessation to act as a representative in any or all regulated activities under section 93 (1) and regulation 11 (3) or (4)/Notice of cessation as a person to whom Division 1 of Part VII of Act applies under section 132 (3)
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8
(PDF, 20KB)
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Sections 93 (1) and 131 and
regulations 4 (b) and 10 (1) |
Notice given under section 93 (1) and regulation 10 (1) for change of a representative's principal/Notice under regulation 4 (b) for change of place at which the register of interests in securities is kept under section 131 |
9
(PDF, 23KB)
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| Sections 93 (1) and 131 and regulation 4 (a) and (b) |
Notice given under section 93 (1) for change of principal place of business/Notice under regulation 4 (a) or (b) for change of place at which register of interests in securities is kept under section 131 |
10
(PDF, 22KB)
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| Section 96 (1) and regulation 12 |
Appointment of chief executive officer or director under section 96 (1) and regulation 12 |
11
(PDF, 40KB)
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| Section 128 (1) and regulation 39 (2) (c) |
Risk disclosure statement required to be finished under section 128 (1) and to be kept under regulation 39 (2) (c) by the holder of a capital markets services licence to trade in futures contracts or leveraged foreign exchange contracts |
13
(PDF, 19.4KB)
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| Section 128 (2) and regulation 39 (2) (d) |
Risk disclosure statement required to be furnished under section 128 (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 exchange |
14
(PDF, 12.1KB)
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| Section 131 (1) |
Register of interests in securities under section 131 (1) |
15
(PDF,8.87KB)
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| Regulation 5 |
Notification of change of representative's particulars under regulation 5 |
16
(PDF, 22.5KB)
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| Regulation 7 (6) |
Notice calling for claims against deposit lodged with the Authority under regulation 7 (6) |
17
(PDF, 6.56KB)
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| Paragraph 4 (6) (a) of the Second Schedule to the Regulations |
Notice of commencement of business of person exempted from holding a capital markets services licence to carry on business in leveraged foreign exchange trading under paragraph 4 (6) (a) of the Second Schedule |
18
(PDF, 45KB)
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| Paragraph 4 (6) (b) of the Second Schedule to the Regulations |
Notice of change of particulars of person exempted from holding a capital markets services licence to carry on business in leveraged foreign exchange trading under paragraph 4 (6) (b) of the Second Schedule |
19
(PDF, 44KB)
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| Paragraph 4 (6) (c) of the Second Schedule to the Regulations |
Notice of cessation of business of person exempted from holding a capital markets services licence to carry on business in leveraged foreign exchange trading under paragraph 4 (6) (c) of the Second Schedule |
20
(PDF, 8.51KB)
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| Paragraph 4 (6) (d) of the Second Schedule to the Regulations |
Declaration by person exempted from holding a capital markets services licence to carry on business in leveraged foreign exchange trading under paragraph 4 (6) (d) of the Second Schedule |
21
(PDF, 18KB)
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| Paragraphs 5 (7) (a) and 7 (6) (a) of the Second Schedule to the Regulations |
Notice of commencement of business of person exempted from holding capital markets services licence to carry on business in fund management or advising on corporate finance under paragraph 5 (7) (a) or 7 (b) (a) of the Second Schedule |
22
(PDF, 46KB)
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| Paragraphs 5 (7) (b) and 7 (6) (b) of the Second Schedule to the Regulations |
Notice of change of particulars of person exempted from holding capital markets services licence to carry on business in fund management or advising on corporate finance under paragraph 5 (7) (b) or 7 (6) (b) of the Second Schedule |
23
(PDF, 46KB)
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| Paragraphs 5 (7) (c) and 7 (6) (c) of the Second Schedule to the Regulations |
Notice of cessation of business of person exempted from holding capital markets services licence to carry on business in fund management or advising on corporate finance under paragraph 5 (7) (c) or 7 (6) (c) of the Second Schedule |
24
(PDF, 8.6KB)
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Paragraphs 5 (7) (d) and 7 (6) (d) of the Second Schedule to the Regulations
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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 (7) (d) or 7 (6) (d) of the Second Schedule |
25
(PDF, 30KB)
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| Regulation 14(4)(a) |
Notice of commencement of business by a person exempted from holding a capital markets services licence under section 99(1)(a), (b), (c) and (d)
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26
(PDF, 103KB)
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| Regulation 14(4)(b) |
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)
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27
(PDF, 113KB)
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| Regulation 14(4)(c) |
Declaration by a person exempted from holding a capital markets services licence under section 99(1)(a), (b), (c) and (d)
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28
(PDF, 88.5KB)
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| Regulation 14(4)(d) |
Notice of cessation of business by a person exempted from holding a capital markets services licence under section 99(1)(a), (b), (c) and (d) |
29
(PDF,8.27KB)
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