Markets
Provisions of the Securities and Futures Act (Cap 289) and the Securities and Futures (Markets) Regulations 2005
|
Description of forms
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Form Number
|
| Regulation 6(1) |
Application for approval as an approved exchange or recognition as a recognised market operator |
1 (PDF,39.9KB)
|
| Regulation 6(1)(a) |
Information on chief executive officer and directors |
2 (PDF,51.2KB)
|
| Regulation 6(1)(a) |
Information on shareholders and subsidiaries |
3 (PDF,47.1KB)
|
| Regulation 6(2) |
Application for exemption from the requirement to be an approved exchange or a recognised market operator |
4 (PDF,39.7KB)
|
| Regulation 8 |
Application for change in status |
5 (PDF,48.0KB)
|
| Regulation 10(1)(e)(i) |
Monthly statistics to be submitted by an approved exchange operating a securities market |
6 (PDF,7.77KB)
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| Regulation 10(1)(e)(ii) |
Quarterly statistics to be submitted by an approved exchange operating a securities market |
7 (PDF,11.3KB)
|
|
Regulation 10(1)(f)
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Monthly statistics to be submitted by an approved exchange operating a futures market |
8 (PDF,7.00KB)
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| Regulation 21(1) |
Application for appointment of chairman, chief executive officer director, or key persons |
9 (PDF,38.0KB)
|
| Section 188(1) of the Securities and Futures Act |
Notice calling for claims against fidelity fund of an approved exchange under section 188(1) of the Securities and Futures Act (Cap. 289) |
10 (PDF,5.75KB)
|
| Section 189(4) of the Securities and Futures Act |
Notice of disallowance of claim against fidelity fund of an approved exchange under section 189(4) of the Securities and Futures Act (Cap. 289) |
11 (PDF,6.12KB)
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Notes:
1. Subject to paragraph 2 of these Notes, the above Forms may be lodged by personal delivery or by pre-paid post.
2. Forms 6, 7 and 8 are required to be lodged by email to the Authority's officer as the Authority may inform the approved exchange from time to time.
Clearing Facilities
Provisions of the Securities and Futures (Clearing Facilities) Regulations 2005
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Description of forms
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Form Number
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| Regulation 6(1) |
Notice of intent to establish or operate a clearing facility |
1 (PDF,73.3KB)
|
| Regulation 6(1)(a) |
Information on chief executive officer, managers and directors |
2 (PDF,57.1KB)
|
| Regulation 6(1)(b) |
Information on partners, shareholders and subsidiaries |
3 (PDF,48.6KB)
|
| Regulation 6(2) |
Application to reduce period under section 49(4) of the Securities and Futures Act (Cap. 289) |
4 (PDF,54.2KB)
|
| Regulation 16(2) |
Application to change clearing fee |
5 (PDF,35.1KB)
|
|
Regulation 24(1)
|
Application for approval of chairman, chief executive officer, director, or key persons |
6 (PDF,37.5KB)
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Notes:
The above Forms may be lodged by personal delivery or by pre-paid post.
Approved Holding Companies
Provisions of the Securities and Futures (Approved Holding Companies) Regulations 2005
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Description of forms
|
Form Number
|
| Regulation 6 |
Application for approval as an approved holding company |
1 (PDF,66.4KB)
|
| Regulation 6(a) |
Information on chief executive officer and directors |
2 (PDF,51,8KB)
|
| Regulation 6(a) |
Information on shareholders and subsidiaries |
3 (PDF,47.8KB)
|
| Regulation 13(1) |
Application for approval of chairman, chief executive officer, director, or key persons |
4 (PDF,35.7KB)
|
Notes:
The above Forms may be lodged by personal delivery or by pre-paid post.
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