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 |