Applications Under the SIA

Registering as a Reporting Issuer

Registering as a Reporting Issuer

Registering as a Securities Company

Registering as a Securities Company

Registering as a Securities Intermediary

Registering as a Securities Intermediary

Registering as a Self Regulatory Organisation

Registering as a Self Regulatory Organisation

PDF_ICONForms

Application for Registration of Securities Company Form 1 Regulation 4 Securities Industry (Registration of Market Participants) Regulation 2002
Application for Registration of Securities Intermediary Form 2 Regulation 6 Securities Industry (Registration of Market Participants) Regulation 2002
Application for Registration as a Representative Form 3 Regulation 8 Securities Industry (Registration of Market Participants) Regulation 2002
Notice of Change of Representative’s Principal Form 4 Regulation 20 Securities Industry (Registration of Market Participants) Regulations 2002
Registration Statement of Reporting Issuer -First Schedule Regulation 2 of Securities Industry (Registration of Issuers and Securities) Regulations 2002
Registration Statement of Securities- Second Schedule Regulation 3 of Securities Industry (Registration of Issuers and Securities) Regulations 2002.
Fit and Proper Assessment

PDF_ICONRegistration Fees

Schedule 2 of Regulation 21 of the Securities Industry (Registration of Market Participants) Regulations 2002