Application Kit - Licensing | Securities Commission Malaysia

Application Kit

Licensing Handbook
Frequently Asked Questions on Licensing
Declaration on the physical layout of the business to avoid conflict of interest

The SC has reviewed the requirement for licensing applicants to submit their physical layout plan as part of their application for new Capital Markets Services Licence (CMSL), new CMSL (Individual), Variation of Regulated Activity for CMSL and Notice of Change in Corporation’s Particulars (Form 1, 2, 7 and 15). Effective immediately, applicants are no longer required to submit the layout plan of their business premises. In place, the applicants are required to submit a declaration using the template provided.

Licensing / Registration Application Forms

A. Capital Markets Services Licence (CMSL)

Type of Licence	Forms
CMSL	Form 1: Application for New Capital Markets Services Licence (MS Word)
CMSL	Form 1E : For Individual Appointment & Profile of Individual Shareholder (MS Word)
CMSL (Individual)	Form 2: Application for New Capital Markets Services Licence (MS Word) (individual)
Readiness Checklist	Readiness Checklist for New Capital Markets Services Licence (MS Word 199KB) Appendix I: UTMC (MS Word 136KB) Appendix II: IUTA (MS Word 153KB) Appendix III: CUTA (MS Word 124KB) Appendix IV: Fund Management (MS Word 144KB) Appendix V: Advising on Corporate Finance (MS Word 93KB) Appendix VI: Investment Advice (MS Word 91KB) Appendix VII: Financial Planning (MS Word 92KB) Appendix VIII: Dealing in Private Retirement Scheme (pdf 100KB)

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

B. Capital Markets Services Representative’s Licence (CMSRL)

Type of Licence Forms

CMSRL

Form 3: Application for New Capital Markets Services Representative’s Licence (MS Word)

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

C. 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 6A: Fit and Proper Compliance Report by Licensed Corporation (pdf)

D. Variation of Regulated Activity & Variation of Principal

Type of Licence	Forms
CMSL	Form 7: Application for Variation of Regulated Activity for Capital Markets Services Licence
CMSL (Individual)	Form 8: Application for Variation of Regulated Activity for Capital Markets Services Representative’s Licence
CMSL (Individual)	Form 9: Application for Variation of Principal by Representative
Readiness Checklist	Appendix I: UTMC (MS Word 136KB) Appendix II: IUTA (MS Word 153KB) Appendix III: CUTA (MS Word 124KB) Appendix IV: Fund Management (MS Word 144KB) Appendix V: Advising on Corporate Finance (MS Word 93KB) Appendix VI: Investment Advice (MS Word 91KB) Appendix VII: Financial Planning (MS Word 92KB) Appendix VIII: Dealing in Private Retirement Scheme (pdf 100KB)

E. Changes Requiring Prior Approval for CMSL

Type of Licence	Forms
Variation of name	Form 10: Application for Change in Corporation's Name
Variation of 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 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

F. Changes Requiring Notification for CMSL and CMSRL

CMSL
Change in shareholders/ shareholding details	Form 13: Notice of Change of Shareholders/ Shareholdings
Appointment of – director chief executive 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 company's particular Name Registered address New branch Branch closure Correspondence address Business address Establishment of new business or acquisition of shares/securities in or outside Malaysia (for capital market-based activities) Establishment of new business or acquisition of shares/securities 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
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
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

G. Temporary Licence

Type of Licence	Forms
Temporary Licence	Form 28: Application for Temporary Licence (MS Word – 202 KB) (to be filled by applicant and monitoring officer)
Temporary Licence	Form 29: Monitoring Officer’s Report for Temporary Licence Holder(s) (MS Word – 93 KB) (to be filled by monitoring officer)

H. Work Permit

Item	Forms
Work Permit	Form WP 1: Application for the Employment of Non-Malaysian Citizens under the Capital Market and Services Act – to be filled by the Principal company (MS Word – 238KB)
Work Permit	Form WP 2: Application for the Employment of Non-Malaysian Citizens under the Capital Market and Services Act – to be filled by the Non-Malaysian Citizen (Applicant) (MS Word – 315KB)

I. Trading Representative

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

J. ACMF Professional Mobility & Hosting of Research Report

Forms
ACMF Form for cross border publication of research report (MS Word - 55KB)
Application for Registration of Recognised Representative (MS Word – 50KB)
Notice of Cessation for Recognised Representative (MS Word – 38KB)

K. Recognised Principal Adviser & Qualified Person

Forms
Application for Recognition as a Recognised Principal Adviser (MS Word - 49KB)
Declaration by Principal Adviser (MS Word - 34KB)
Declaration by Recognised Principal Adviser for Appointment of New Qualified Person (MS Word - 34KB)

L. Registration Forms

Forms
Form R1: Application for the Registration of Registered Person (pdf)
Form R2: Individual Appointment and Profile of Individual Shareholder (pdf)
Form R3: Notice of Cessation for Registered Person (pdf)
Form R4: Application for Individual Appointment (pdf)
Form R5: Notice of Individual Appointment (pdf)
Form R6: Notice of Cessation of Individual Appointment (pdf)
Form R7: Application for Change of Ownership (pdf)
Form R9: Notice of Change of Ownership (pdf)
Form R10: Application for Variation of Product Type by Registered Trustee (pdf)
Form R11: Anniversary Reporting by Capital Market Services Provider (pdf)
Form R12: Regulatory Filing (pdf)