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Part B

Past version: Effective from 01 Jan 2014 to 30 Sep 2014
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Table of Contents
 
Glossary of Defined Terms Glossary of Defined Terms Jan 14 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 Apr 13 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 Apr 13 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 Apr 13 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
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 Suspicious Transaction Report Nov 10 PDF Version
Supplementary Information AML Appendices Anti-Money Laundering and Combating of Financial Crime Oct 10  
OFS Appendices Offering of Securities Jan 14