Provides guidance on • the scope of capital markets services licensing (other than for fund management companies) • appointment of representatives • business conduct rules • the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.
Last Revised Date: 07 June 2019
Forms and Templates
Form 1 - Application for a Capital Markets Services Licence (Other than for a Fund Management Company)
Form for entities (other than fund management companies) to apply for a capital markets services licence to conduct regulated activities under the Securities and Futures Act. Fund management companies should submit , or , depending the type and scope of their fund management activities.