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) |