Part B

 

Table of Contents
 
Glossary of Defined Terms Glossary of Defined Terms   Oct 20 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 20 PDF version
Form 3 Application for Approved Person Status Apr 20 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 20 PDF Version
Form 4 Information on Shareholders and Subsidiaries Apr 20 PDF Version
CRA Forms Crypto-Asset Forms
Form 1 Application for a License Apr 20 PDF version
Form 2 Information on Shareholders and Subsidiaries Apr 20 PDF version
Form 3 Application for Approved Person Status Apr 20 PDF version
DDA Direct Debit Authorisation Apr 20 PDF version
PIIR Professional Indemnity Insurance Return Apr 20 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 20 PDF Version
Form 3 Application for Approved Person Status Apr 20 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 Apr 20 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]
Jan 21  
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
DIS Appendices Instructions for Publication of Press Releases
[DIS Appendix 1: Added Jan 2020]
Jan 20 PDF Version
  Disclosure Standards
[DIS Appendix 2: Added Jan 2020]
Jan 20 PDF Version