Samples of Completed Licensing Forms

Samples of Completed Licensing Forms

The following is a table showing a sample set of completed licensing forms which are commonly used. Links to the respective forms are provided where appropriate.

Please note that they are intended for reference only .

Sample Licensing Application and Notification Forms

(Securities dealers and their representatives registered under the former regime seeking migration to the new regime may download a sample of completed migration application forms for reference. )

Item	Type of events / application	Corporation	Representative
1	New Licence Application

Form 4 - Miscellaneous Applications
2	Addition of regulated activity
3	Reduction of regulated activity		N/A
4	Approval as a responsible officer	N/A
5	Transfer of accreditation	N/A
6	Addition of accreditation	N/A
7	Change of licensing / registration condition
8	Issuance of duplicate licence / certificate of registration
9	Premises to be used for record keeping purpose		N/A
10	Change of financial year end		N/A
11	Adoption of period exceeding 12 months as financial year		N/A
12	Extension of deadline for submission of audited accounts		N/A
13	Approval as a substantial shareholder		N/A

Form 5 - Notification - Licensed Corporation, Registered Institution, Licensed Representative and Substantial Shareholder
14	Cessation of business - Licensed Corporation or Registered Institution		N/A
15	Ceasing to act as a Licensed Representative
16	Ceasing to act as a Responsible Officer of a corporation
17	Change in director or his/her particulars		N/A
18	Change in complaints officer or his/her particulars		N/A
19	Change in emergency contact person or his/her particulars		N/A
20	Change in share capital		N/A
21	Change in shareholding structure		N/A
22	Change in contact information
23	Change in bank account		N/A
24	Change in auditor		N/A
25	Change in name
26	Change in associated entity or its particulars		N/A