Legislations
Consolidated Securities Act, 2007 to 20th December, 2018
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
Securities (Substantial Activity Requirements) Regulations,2018
Application Forms
Securities Dealer Licence Application Form
Exempt Overseas Securities Dealer Application Form
Securities Exchange Licence Application Form
Investment Advisor Licence Application Form for Companies
Investment Advisor License Application Form for Individuals
Representative Licence Application Form
Securities Facility Licence Application Form
Clearing Agency Licence Application Form
Questionnaire Form for Shareholders and Beneficial Owners
Politically Exposed Person (PEP) Form
Notification and Certification Forms
Securities Dealer Quarterly Returns Form
Investment Advisor Quarterly Returns Form
Application Forms
Approved Foreign Administrator Application Form
Exempt Foreign Fund Application Form
Fund Administrator Licence Application Form
Public Fund Licence Application Form
Professional Fund Licence Application Form
Private Fund Licence Application Form
Questionnaire Form for Shareholders and Beneficial Owners
Politically Exposed Person (PEP) Form
Checklist for Licensees under the MFHF Act 2008
Notification and Declaration Forms; Mutual Fund and Hedge Fund Act, 2008
Mutual Funds Quarterly Returns Form