Get Form 3 Application For New Capital Markets Services Representatives Licence Section I: Regulated

Filling out the FORM 3 APPLICATION FOR NEW CAPITAL MARKETS SERVICES REPRESENTATIVES LICENCE is an essential step for individuals looking to obtain a new licence in the capital markets. This guide will provide you with a clear, step-by-step approach to completing the form efficiently and accurately.

Follow the steps to fill out the application form online.

1. Click ‘Get Form’ button to obtain the form and open it in the editor.
2. In Section I: Regulated Activity, tick the box next to each activity you intend to carry out, such as dealing in securities or fund management. Ensure that you fill in the name and location of your principal correctly.
3. Indicate your relationship with the principal by selecting one of the options: salaried, commissioned, or others. If you select 'others,' please specify your relationship.
4. In Section II: Profile, fill out your personal details including your salutation, name as per NRIC, other names, date of birth, gender, nationality, and status. Be sure to complete all mandatory fields.
5. Provide your residential address and contact details including email and all phone numbers required, ensuring all fields marked mandatory are filled.
6. For Malaysian applicants, enter your old IC and NRIC numbers. Non-Malaysian applicants should provide their passport number, expiry date, and country of issue. Include the length of residence in Malaysia.
7. Answer questions regarding your marital status and provide spouse details if married. Include the necessary information for each spouse if applicable.
8. In Sections III and IV, detail your academic or professional qualifications and employment history. Include the relevant institution name, year of qualification, and duties undertaken at previous employers.
9. Section V requires disclosing details related to licensing examinations. List the modules, dates passed or exempted, and any other qualifications related to your application.
10. In Section VI, indicate if you intend to keep a register of securities and provide the necessary details if yes.
11. For Section VII: Declarations, answer all questions honestly about your interests in securities, directorships, ownership stakes, any past licensing issues, and any legal proceedings.
12. Provide any additional information in Section VIII as relevant to your application.
13. In Section IX, tick off any supporting documents you are submitting with your application, ensuring all necessary copies are attached.
14. Finally, in Section X, declare that all the information provided is true and correct. You must sign and date the form. Additional signatures from directors or authorized signatories may also be required.
15. Once completed, save your changes, and you may choose to download, print, or share the form as needed.

Start your application process online today and ensure you meet all necessary regulations for your capital markets services licence.