(English)

Forms for New Licences

Type of Licence Forms
CMSL Form 1: Application for New Capital Markets Services Licence (MS Word)
Form 1A: Application for New Capital Markets Services Licence (MS Word)
(to be filled by directors/key management/company secretary)
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)
Form 1C: Application for New Capital Markets Services Licence (MS Word)
(to be filled by the first two proposed licensed representatives)
CMSL (Individual) Form 2: Application for New Capital Markets Services Licence (MS Word)
(individual)

Forms for Other Applications (For submission through the Electronic Licensing Application (ELA) System only). These forms are for illustration purposes only and not for manual submission.

Forms for New CMSRL

Type of Licence Forms
CMSRL Form 3: Application for New Capital Markets Services Representative’s Licence (pdf)

 Forms for Anniversary Reporting for Authorisation Activity

Type of Licence Forms
CMSL

Form 4: Anniversary Reporting for Authorisation Activity Form for Capital Markets Services Licence

CMSL (Individual)

Form 5: Anniversary Reporting for Authorisation Activity Form Capital Markets Services Licence (Individual) (pdf)

CMSRL

Form 6: Anniversary Reporting for Authorisation Activity Form for Capital Markets Services Representative’s Licence (pdf)

Forms for Variation of Regulated Activity and Variation of Principal

Type of Licence Forms
CMSL Form 7: Application for Variation of Regulated Activity for Capital Markets Services Licence
CMSRL Form 8: Application for Variation of Regulated Activity for Capital Markets Services Representative’s Licence
Form 9: Application for Variation of Principal by Representative

Changes Requiring Prior Approval for CMSL

Type of Licence Forms
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

Changes Requiring Notification for CMSL

CMSL
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 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 LicenceForm 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
CMSRL 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
GeneralPlace 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
Readiness Checklist

Form for Temporary Licence

Change in shareholders/ shareholding details Form 13: Notice of Change of Shareholders/ Shareholdings
Type of Licence Forms
Temporary Licence Form 28: Application for Temporary Licence (MS Word – 202 KB)
(to be filled by applicant and monitoring officer)
Form 29: Monitoring Officer’s Report for Temporary Licence Holder(s) (MS Word – 93 KB)
(to be filled by monitoring officer)

Trading Representative

Form 30: Application for Registration of Trading Representative (MS Word – 70KB)
Form 31: Notice of Cessation for Trading Representative (MS Word – 39KB)

Reporting for Marketing Representative

Form 32 – Monthly Reporting on Marketing Representatives by CMSL (MS Excel – 24KB)