Capital Markets

Legislations

Securities ACT, 2007

Securities (Conduct of Business) Regulations, 2008

Securities (Forms and Fees) Regulations, 2008

Securities (Prospectus) Regulations, 2008

Securities (Takeovers) Regulations, 2008

Securities (Financial Statements) Regulations, 2008

Securities (Advertisements) Regulations, 2008

Guidance

Clearing Agency Licence Application Form

Exempt Overseas Securities Dealer Application Form

Investment Advisor Licence Application Form for Companies

Investment Advisor License Application Form for Individuals

Investment Advisor Application Guidelines

Representative Licence Application Form

Representative Application Guidelines

Securities Dealer Licence Application Form

Securities Dealer Application Guidelines

Securities Exchange Licence Application Form

Securities Facility Licence Application Form

Tax Clearance Certification

Politically Exposed Person (PEP) Form

Personal Questionnaire Form

Questionnaire Form for Shareholders and Beneficial Owners

Legislations

Mutual Fund & Hedge Fund Act 2008 (Official Gazette)

Mutual Fund and Hedge Fund Act 2008

Guidance

Approved Foreign Administrator Application Form

Exempt Foreign Fund Application Form

Fund Administrator Licence Application Form

Fund Licence Application Form

Fund Application Guidelines

Mutual Fund Administrator and Approved Foreign Administrator Application Guidelines

Personal Questionnaire Form

Questionnaire Form for Shareholders and Beneficial Owners