Part B
Table of Contents | ||||
Glossary of Defined Terms | Glossary of Defined Terms | Apr 23 | 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 : Updated Jan 22] |
Jan 22 | PDF Version | |
TMA Appendix E | Notice for Compulsory Acquisition Template | Jan 22 | PDF Version | |
TMA Appendix F | Right to Sell-Out Notice Template | Jan 22 | 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 | ||
CRA | Crypto-asset | |||
Appendix A | NIST Cyber Security Framework | Apr 23 | PDF Version | |
Appendix B | Cyber Security Incident Report | Apr 23 | PDF Version | |
Appendix CRA-1 | Whitepaper | Apr 23 | PDF Version | |
Appendix CRA-2 | Crypto-asset Advisor Declaration | Apr 23 | PDF Version | |
Appendix CRA-3 | Digital Token Issuer’s Board of Director Declaration | Apr 23 | PDF Version | |
Appendix CRA-4 | Digital Token Legal Advisor Declaration | Apr 23 | PDF Version |