SIA Bill 2011
Application Forms

Our Vision

A vibrant, competitive financial services sector that has sound regulatory practices and policies that promote confidence.

Our Purpose

To contribute to the growth and development of a financial services sector that is vibrant and competitive.

Securities Industry Act, 2011

Firms

Form 8 Application for Registration as a Registered Firm DOC PDF

Individuals

Form 4 Personal Questionnaire for Directors, Officers and Securities Holders of
Persons Registered under Part V of the Act and Registered Firms
DOC PDF
Form 9 Application for Registration as CEO, Compliance Officer or Registered Representative of Registered Firm DOC PDF
Form 11 Notice of Employment of Personnel to Carry on Securities Business on
Behalf of a Registered Firm
DOC PDF


Investment Funds Act, 2019

IFA Fund Application Licence - Form A PDF
IFA Fund Manager Registration - IFR Form B PDF
IFA Admin Application - IFR Form D PDF
Application Form - Chief Executive Officer and Compliance Officer and MLRO PDF



Financial and Corporate Service Providers Act, 2000

Schedule Financial and Corporate Service Licence DOC PDF

Adobe Download