Electronic licensing application securities commission
Important: The suite of forms below is for reference only. Forms submission by new corporate applicants and license holders or registered person must be made via Electronic Application System (EASy). For enquiries, please contact [email protected] .
- Readiness Checklist for New Capital Markets Services Licence (MS Word 199KB)
- Appendix I: UTMC (MS Word 136KB)
- Appendix II: IUTA (MS Word 153KB)
- Appendix III: CUTA (MS Word 124KB)
- Appendix IV: Fund Management (MS Word 144KB)
- Appendix V: Advising on Corporate Finance (MS Word 93KB)
- Appendix VI: Investment Advice (MS Word 91KB)
- Appendix VII: Financial Planning (MS Word 92KB)
- Appendix VIII: Dealing in Private Retirement Scheme (pdf 100KB)
Forms for Other Applications (For submission through the Electronic Application System (EASy) only). These forms are for illustration purposes only and not for manual submission.
| Type of Licence | Forms |
|---|
| CMSRL | Form 3: Application for New Capital Markets Services Representative’s Licence (MS Word) |
| Type of Licence | Forms |
|---|
| CMSL | Form 4: Anniversary Reporting for Authorisation Activity Form for Capital Markets Services Licence |
| CMSL (Individual) | Form 5: Anniversary Reporting for Authorisation Activity Form Capital Markets Services Licence (Individual) (pdf) |
| CMSRL | Form 6A: Fit and Proper Compliance Report by Licensed Corporation (pdf) |
- Appendix I: UTMC (MS Word 136KB)
- Appendix II: IUTA (MS Word 153KB)
- Appendix III: CUTA (MS Word 124KB)
- Appendix IV: Fund Management (MS Word 144KB)
- Appendix V: Advising on Corporate Finance (MS Word 93KB)
- Appendix VI: Investment Advice (MS Word 91KB)
- Appendix VII: Financial Planning (MS Word 92KB)
- Appendix VIII: Dealing in Private Retirement Scheme (pdf 100KB)
Change of designation for –
- director
- head of regulated activity
- head of operations
- head of compliance
- Name
- Registered address
- New branch
- Branch closure
- Correspondence address
- Business address
- Establishment of new business or acquisition of
shares/securities in or outside Malaysia (for capital
market-based activities)
- Establishment of new business or acquisition of
shares/securities in or outside Malaysia (for non-
capital market-based activities)
- Disposal of business or shares/interests in or
outside Malaysia including closure of business
- Name of CMSL holder
- Registered address
- Business address
- Correspondence address
- Establishment of new business or acquisition of shares/interests in or outside Malaysia (for capital market based activities)
- Establishment of new business or acquisition of shares/interests in or outside Malaysia (for non- capital market based activities)
- Disposal of business or shares/interests in or outside Malaysia including closure of business
- Name of CMSRL holder
- Residential address
- Location
- Passport number (for non-Malaysian)
- remuneration type
Notification for CMSRL holder for financial planning intending to provide specific advice under subparagraph 7.04(7) of the Licensing Handbook
