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SECURITIES AND FUTURES ACT (Cap. 289)FORMSECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (Kg 10)23NOTICE OF CHANGE OF PARTICULARS LODGED PURSUANT TO PARAGRAPH 7(6)(b) OF THE
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How to fill out capital markets services licence

01
Review the eligibility criteria for the capital markets services licence.
02
Prepare the required documentation such as business plan, financial statements, and compliance policies.
03
Submit the licence application to the relevant regulatory authority.
04
Wait for the application to be processed and respond to any queries from the regulatory authority.
05
Once the licence is approved, comply with all regulatory requirements and ongoing reporting obligations.

Who needs capital markets services licence?

01
Financial institutions such as banks, securities firms, and fund management companies.
02
Individuals or companies involved in trading securities or providing investment advice.
03
Anyone who wishes to operate in the capital markets and offer financial services to clients.
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A capital markets services licence is a license issued by the regulatory authority that allows a financial institution or individual to provide specific financial services related to the capital markets.
Financial institutions or individuals who wish to provide specific financial services related to the capital markets are required to file for a capital markets services licence.
To fill out a capital markets services licence, the applicant must provide detailed information about their financial institution or individual, the specific financial services they intend to provide, and any other required documentation as specified by the regulatory authority.
The purpose of a capital markets services licence is to ensure that financial institutions and individuals who provide specific financial services related to the capital markets meet certain regulatory standards and requirements to protect investors and maintain market integrity.
The information required to be reported on a capital markets services licence typically includes details about the financial institution or individual, the specific financial services they intend to provide, any relevant qualifications or experience, and any other documentation as required by the regulatory authority.
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