Applications & Forms
For assistance in completion of the Application & Forms, please refer to the "Investment Business - Guidance for Prospective Applicants"
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Appendix 1 – Application Form for Standard Licence and Registration - 15 October 2024
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Appendix 2 – Application Form for Test Licence - 15 October 2024
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Appendix 5 - Certificate of Compliance - 17 April 2024
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Appendix 8 - Schedule II - Liquidity Analysis - 29 November 2022
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Investment Business Guidance for Prospective Applicants - 1 July 2022
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Appendix 3 - Institutional Questionnaire - 1 July 2022
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Appendix 4 - Personal Questionnaire - 1 July 2022
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Appendix 6 / Schedule I – Annual Regulatory Information - 1 July 2022
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Appendix 9 / Schedule II – Prudential Information Return - 1 July 2022
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Appendix 10 / Schedule III – Supplemental Quarterly Reporting Form - 1 July 2022
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Appendix 7 / Schedule II – Financial Statements - 10 November 2020
