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Part B


Table of Contents
 
Glossary of Defined Terms Glossary of Defined Terms Oct 19 PDF Version
CBB Authorisation Forms Form CIU(A) Application for Authorisation of a CIU
[Deleted in Oct 2012 as now included under Volume 7]
Oct 12
Form CIU(R) Application for Registration of a CIU
[Deleted in Oct 2012 as now included under Volume 7]
Oct 12
MAE Forms Markets and Exchanges Forms
Form 1 Application for Approval as a Licensed Exchange or Licensed Market Operator Apr 13 PDF Version
Form 2 Information on Shareholders and Subsidiaries Apr 13 PDF version
Form 3 Application for Approved Person Status July 18 PDF Version
Form 4 Application for Exemption from the Requirement to be a Licensed Exchange or Licensed Market Operator Apr 08 PDF Version
Form 8 Approval for Business Transfer Apr 08 PDF Version
CSD Forms Clearing, Settlement and Despository Forms
Form 1 Application for a Business License as a Clearing House or Central Depository Apr 13 PDF Version
Form 2 Notice of Intent to Establish or Operate a Clearing facility or Central Depository Apr 09 PDF Version
Form 3 Application for Approved Person Status July 18 PDF Version
Form 4 Information on Shareholders and Subsidiaries Apr 13 PDF Version
MIR Forms Market Intermediaries and Representatives Licence Forms
Form 1 Application for Approval as a Licensed Member Apr 13 PDF Version
Form 2 Information on Shareholders and Subsidiaries Apr 13 PDF Version
Form 3 Application for Approved Person Status July 18 PDF Version
Form 4 Application for Exemption from the Requirements to be a Licensed Member
[Deleted in April 2013]
Apr 13  
Form 5 Approval for Business Transfer Apr 13 PDF Version
Form LP 1 LP Application Form July 17 PDF Version
Form LP 2 GP Application Form July 17 PDF Version
Form PCC 1 PCC Application Form July 17 PDF Version
Form PCC 2 Conversion to PCC Application Form July 17 PDF Version
CBB Reporting Forms MAE Forms Markets and Exchanges Forms
Form 5 Monthly Statistics to be Submitted by a Licensed Exchange Operating a Securities Market Apr 08 PDF Version
Form 6 Quarterly Statistics to be Submitted by a Licensed Exchange Operating a Securities Market Apr 08 PDF Version
Form 7 Monthly Statistics to be Submitted by a Licensed Exchange Operating a Futures Market Apr 08 PDF Version
Form CIU(QS) CIU Quarterly Statistical Return
[Deleted in Oct 2012 as now included under Volume 7]
Oct 12  
Form STR [Deleted in July 2016] Jul 2016  
Form ALF Annual License Fee Jul 2016 PDF Version
Supplementary Information AML Appendices Anti-Money Laundering and Combating of Financial Crime Oct 19 PDF Version
OFS Appendices Offering of Securities
[OFS Appendix 1 Prospectus for Equity Securities: Updated Oct 17]
Oct 17  
MIR Appendices Market Intermediaries and Representatives License
[MIR Appendix 1 Segregation and Handling of Clients' Assets Agreed Upon Procedures: Added Jan 18]
Jan 18  
TMA Appendices Takeovers, Mergers and Acquisitions
[TMA Appendices A, B, C, D : Added Oct 19]
Oct 19 PDF Version
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