Last Revised Date: 08 May 2023
Forms and Templates
Form 5 - Auditor’s Report - For a Holder of a Capital Markets Services Licence
Form for capital markets services licensees to submit their auditor's reports on their businesses. This form must be submitted within five months from the end of the financial year.
Related to this Item
NoticesLast Revised Date: 27 September 2021
Notice SFA 04-N13 Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences
How to comply with risk based capital adequacy requirements.
FAQsLast Revised Date: 03 November 2020
FAQs on Lodgement of Financial Returns under the Securities and Futures (Financial and Margin Requirements) Regulations
Provides guidance on the requirements and procedures relating to the lodgement of financial returns by capital markets services licensees.
RegulationsLast Revised Date: 08 October 2018
Securities And Futures (Financial And Margin Requirements For Holders Of Capital Markets Services Licences) Regulations
Sets out the minimum capital and financial resources, and other financial and margin requirements.