Application Kits Licensing Examinations List of Licensed Intermediaries Continuing Professional Education
Main Venture Capital Corporations and Venture Capital Management Corporations        

LICENSING APPLICATION

Forms for New Licences

Type of Licence Forms
CMSL Form 1: Application for New Capital Markets Services Licence
(MS Word - 336KB)
Form 1A: Application for New Capital Markets Services
Licence (MS Word - 212KB)
(to be filled by directors/key management/company secretary)
Form 1B: Application for New Capital Markets Services
Licence (MS Word - 243KB)
(to be filled by directors/key management/ company secretary who are also the proposed representative)
Form 1C: Application for New Capital Markets Services
Licence (MS Word - 232KB)
(to be filled by the first two proposed licensed representatives)
Form 1D: Application for New Capital Markets Services
Licence (MS Word - 108KB)
(for variation of principal by representative)
CMSL (Individual) Form 2: Application for New Capital Markets Services
Licence (MS Word - 264KB)
(individual)
CMSRL Form 3: Application for New Capital Markets Services
Representative’s Licence

Forms for Renewal of Licences

Type of Licence Forms
CMSL Form 4: Application for Renewal of Capital Markets
Services Licence
CMSL (Individual) Form 5: Application for Renewal of Capital Markets
Services Licence (MS Word - 158KB)
(individual)
CMSRL Form 6: Application for Renewal of Capital Markets
Services Representative’s Licence

Forms for Variation of Regulated Activity and Variation of Principal

Type of Licence Forms
CMSL Form 7: Application for Variation of Regulated Activity
for Capital Markets Services Licence (MS Word - 164KB)
CMSRL Form 8: Application for Variation of Regulated Activity
for Capital Markets Services Representative’s Licence (MS Word - 114KB)
Form 9: Application for Variation of Principal by
Representative

Changes Requiring Prior Approval for CMSL

Type of Licence Forms
Variation of name Form 10: Application for Change in Corporation’s Name
Form 11: Application for Change in Individual’s Business
Name (MS Word - 32KB)
Change of shareholders/
shareholding structure
which results in a
change of controller		 Form 12: Application for Change of Shareholders/
Shareholdings
Application for
compliance officer/local
participant		 Form 24: Application for Compliance Officer/Local
Participant

Application for
Appointment of Key
Management:

  • Head of regulated
    activity
  • Head of operations
  • Head of compliance
 Form 27: Application for Appointment of Key
Management

Changes Requiring Notification

CMSL
Change in shareholders/
shareholding details		 Form 13: Notice of Change of Shareholders/
Shareholdings (MS Word - 164KB)

Appointment of–

  • director
  • chief executive officer
  • company secretary
  • head of regulated activity
  • head of operations
  • head of compliance

Change of designation for–

  • director
  • head of regulated activity
  • head of operations
  • head of compliance
 Form 14: Notice of Appointment of Directors/Key
Management/Company Secretary

Change of corporation’s
particulars:

  • Name of CMSL holder
  • Registered address
  • Business address
  • Correspondence address
  • New branch
  • Branch closure
 Form 15: Notice of Change in Corporation’s
Particulars

Change of individual’s
particulars:

  • Name of CMSL holder
  • Residential address
  • Business name
  • Business address
 Form 16: Notice of Change in Individual’s
Particulars (MS Word - 131KB)
Cessation of CMSL/ CMSL
(individual)		 Form 18: Notice of Cessation for Capital Markets
Services Licence
Form 19: Notice of Cessation for Capital Markets
Services Licence (individual) (MS Word - 112KB)
Cessation of directors/key
management/company
secretary		 Form 21: Notice of Cessation for Directors/Key
Management/Company Secretary
Cessation of compliance
officer/local participant		 Form 25: Notice of Cessation of Compliance
Officer/Local Participant
CMSRL

Variation of particulars:

  • Name of CMSRL holder
  • Residential address
  • Location
  • Passport number (for
    non-Malaysian)
  • renumeration type
 Form 17: Notice of Change in Representative’s
Particulars
Cessation of CMSRL Form 20: Notice of Cessation of Capital Markets
Services Representative’s Licence
General
Place where register of
securities is to be kept for
CMSL/CMSRL		 Form 22: Notice of Place Where Register of
Securities Is to Be Kept (MS Word - 137KB)
Cessation/change of place
where register of securities
is to be kept for CMSL/
CMSRL		 Form 23: Notice of Change of Place or Cessation
of Keeping of Register of Securities (MS Word - 150KB)
Register of securities for
CMSL/CMSRL		 Form 26: Register of Securities (MS Word 73KB)

Readiness Checklists

Form for Temporary Licence

Type of Licence Form
Temporary Licence Form 28: Application for Temporary Licence (MS Word – 264 KB)
(to be filled by applicant and monitoring officer)
Form 29: Monitoring Officer’s Report for Temporary Licence Holder(s) (MS Word – 93 KB)
(to be filled by monitoring officer)