Important: The suite of forms below is for reference only. Forms submission by new corporate applicants and license holders or registered person must be made via Electronic Application System (EASy). For enquiries, please contact [email protected].
Type of Licence | Forms |
---|---|
CMSRL |
Form 3: Application for New Capital Markets Services Representative’s Licence (MS Word) |
Type of Licence | Forms |
---|---|
CMSL |
Form 4: Anniversary Reporting for Authorisation Activity Form for Capital Markets Services Licence |
CMSL (Individual) | |
CMSRL | Form 6A: Fit and Proper Compliance Report by Licensed Corporation (pdf) |
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 Profile of Proposed Individual Shareholder (MS Word) |
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
|
Form 27: Application for Appointment of Chief Executive Officer and Key Management |
CMSL | |
---|---|
Change in shareholders/ shareholding details | Form 13: Notice of Change of Shareholders/ Shareholdings |
Appointment of –
Change of designation for –
|
Form 14: Notice of Appointment of Directors/Key Management/Company Secretary |
Change of company's particular
|
Form 15: Notice of Change in Corporation's Particulars |
Change of individual's particulars:
|
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:
|
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 |
Notification for CMSRL holder for financial planning intending to provide specific advice under subparagraph 7.04(7) of the Licensing Handbook |
Notice of scope expansion of eligible financial planner |
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) |
Item | Forms |
---|---|
Admission into the Register of Recognised Principal Adviser | Declaration by Principal Adviser for Admission into the Register of Recognised Principal Adviser |
Particulars of Principal Adviser and Qualified Person | |
Appointment of Additional Qualified Person | Declaration by Recognised Principal Adviser for Appointment of Additional Qualified Person |
Particulars of Recognised Principal Adviser and Qualified Person | |
Annual Declaration | Annual Declaration by Recognised Principal Adviser |
Particulars of Recognised Principal Adviser and Qualified Person |