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This page contains a number of the forms used for general registration and regulatory compliance. Please use the dropdown box to view Forms, Fee Schedules and the Checklist of Documents that must be submitted for first-time or renewal registrations.
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Registration Forms (5)
FormDescriptionFile
Conflict of Interest Rules Statement Conflict of Interest Rules Statement. File Download...
Form No.1 Application for Registration as a Self-Regulatory Organisation (SRO). File Download...
Form No.2 Application for Registration as Broker, Dealer, Investment Adviser, Trader or Underwriter. File Download...
Form No.3 Application for Registration as a Securities Company. File Download...
Form No.4 Registration Statement. File Download...
Mutual Fund Forms (5)
DocumentDescriptionFile
Mutual Fund Activity Form Mutual Fund Activity Reporting Form. File Download...
Mutual Fund Regulation 2 Application for a Mutual Fund Administration Licence. File Download...
Mutual Fund Regulation 3 Application for a Mutual Fund Licence. File Download...
Mutual Fund Regulation 4 Information to be disclosed in the Offering Document. File Download...
Mutual Fund Regulation 7 Contents of the Constitutive Document. File Download...
Fit & Proper Questionnaire (1)
DocumentDescriptionFile
Fit & Proper Questionnaire Fit & Proper Questionnaire File Download...