Apply for a Capital Markets Development – Dealer License

The following regulatory forms will assist the entity to comply with the different sections of the Act, whether to do with registration or submission of statutory periodical reports:

• Registration Requirements: Form 1 Licensing Rules 2013 Application For A Dealer And Investment Adviser's License – PDF Document Size 347.46 kB
• Registration Requirements: Form 2 Licensing Rules 2013 Application For Representative's License – PDF Document Size 292.25 kB
• Registration Requirements: Form 4 Licensing Rules 2013 Application For Approval Of Chairman, Chief Executives Officer, Director And Key Persons – PDF Document Size 200.16 kB
• Registration Requirements: Form CAS 1 Capital Adequacy Standards Notice, 2013 Statement Of Assets And Liabilities – PDF Document Size 186.63 kB