Form 1B: Application for New Capital Markets Services Licence (MS Word)
(to be filled by directors/key management/ company secretary who are also the proposed representative)

Variation of name

Form 10: Application for Change in Corporation's Name

Form 11: Application for Change in Individual's Business Name

Change of shareholders/shareholding
structure which results in a
change of controller

Form 12: Application for Change of Shareholders/Shareholdings

Application for compliance officer

Form 24: Application for compliance officer

Application for Establishment of New Business or Acquisition of Shares/Interests In or Outside Malaysia (for capital market based activities)

Form 26: Application for Establishment of New Business or Acquisition of Shares/Interests In or Outside Malaysia

Application for Appointment of Chief Executive Officer and Key Management

• Chief Executive Officer
• Head of Regulated Activity
• Head of Operations
• Head of Compliance

Form 27: Application for Appointment of Chief Executive Officer and Key Management

Change in shareholders/ shareholding details

Form 13: Notice of Change of Shareholders/ Shareholdings

Appointment of-

• director
• chief executive officer
• company secretary
• head of regulated activity
• head of operations
• head of compliance

Change of designation for-

• director
• head of regulated activity
• head of operations
• head of compliance

Form 14: Notice of Appointment of Directors/Key Management/Company Secretary

Change of corporation's particulars:

• Name of CMSL holder

• Registered address

• Business address

• Correspondence address

• New branch

• Branch closure

• Establishment of new business or acquisition of shares/interests in or outside Malaysia (for capital market based activities)

• Establishment of new business or acquisition of shares/interests in or outside Malaysia (for non capital market based activities)

• Disposal of business or shares/interests in or outside Malaysia including closure of business

Form 15: Notice of Change in Corporation's Particulars

Change of individual's particulars:

• Name of CMSL holder
• Registered address
• Business address
• Correspondence address
• Establishment of new business or acquisition of shares/interests in or outside Malaysia (for capital market based activities)
• Establishment of new business or acquisition of shares/interests in or outside Malaysia (for non- capital market based activities)
• Disposal of business or shares/interests in or outside Malaysia including closure of business

Form 16: Notice of Change in Individual's Particulars

Cessation of CMSL/ CMSL
(individual)

Form 18: Notice of Cessation for Capital Markets Services Licence

Form 19: Notice of Cessation for Capital Markets Services Licence (individual)

Cessation of directors/key management/company secretary

Form 21: Notice of Cessation for Directors/Key Management/ Company Secretary

Cessation of compliance officer

Form 25: Notice of Cessation of Compliance Officer

Variation of particulars:

• Name of CMSRL holder
• Residential address
• Location
• Passport number (for non-Malaysian)
• remuneration type

Form 17: Notice of Change in Representative's Particulars

Cessation of CMSRL

Form 20: Notice of Cessation of Capital Markets Services Representative's Licence

Place where register of securities is to be kept for CMSL/CMSRL

Form 22: Notice of Place Where Register of Securities Is to Be Kept

Cessation/change of place where register of securities is to be kept for CMSL/CMSRL

Form 23: Notice of Change of Place or Cessation of Keeping of Register of Securities