Select a Registration Type from the list below to view the corresponding checklist.
Checklists for Registration of Securities
- Checklist for Registration of Securities excluding CISs
- Checklist for Registration of Local CISs
- Checklist for Registration of Foreign CISs
- Checklist for Prospectuses of Collective Investment Schemes
Checklists for Registration of Companies and Individuals
- Checklist for Registration of a Broker-Dealer
- Checklist for Registration of an Investment Adviser – Individual
- Checklist for Registration of an Investment Adviser – Corporate Form
- Checklist for Registration of an Underwriter
- Checklist for Registration of a Branch Office of a Market Intermediary
- Checklist for the approval of a Substantial Shareholder
- Checklist for Registration as a Sponsored Broker-Dealer or Sponsored Investment Adviser
- Checklist for Registration of a Reporting Issuer
- Checklist for Registration of a Registered Representative
- Checklist for a Change of Name of a Registered Representative
Checklists for Renewal of Registration
- Checklist for Renewal of Registration of a Broker-Dealer
- Checklist for Renewal of Registration of an Investment Adviser – Individual
- Checklist for Renewal of Registration of an Investment Adviser – Corporate Form
- Checklist for the Renewal of Registration of an Underwriter
- Checklist for the Renewal of Registration of a Registered Representative
- Checklist for Renewal of Branch Offices of Market Intermediaries