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 (pdf)

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 (pdf)

CMSRL

Form 8: Application for Variation of Regulated Activity for Capital Markets Services Representative’s Licence (pdf)

Form 9: Application for Variation of Principal by Representative (pdf)


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 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

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

General

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


Readiness Checklist

Form for 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)

Form 29: Monitoring Officer’s Report for Temporary Licence Holder(s) (MS Word – 93 KB)
(to be filled by monitoring officer)