Annual fees payable by a registered trading representative
Annual fees payable by a Recognised Representative under the ASEAN Capital Markets Forum Pass Professional Mobility Framework
Application for establishment of Islamic stockbroking window
Form 1: Application for a new Capital Markets Services Licence
Form 1E: Application for New Capital Markets Services Licence Appointment of Individual / Profile of Individual Shareholder (Application for CMSRL)
Form 1E: Application for New Capital Markets Services Licence Appointment of Individual / Profile of Individual Shareholder (Appointment of Individual)
Form 1E: Application for New Capital Markets Services Licence - Appointment of Individual / Profile of Individual Shareholder (Individual Shareholder)
Form 7: Application for Variation of Regulated Activity for CMSL Holder (Application by an existing CMSL holder for fund management (boutique portfolio management) to be converted to fund management in relation to portfolio management and vice versa)
Form 7: Application for Variation of Regulated Activity for Capital Market Services Licence Holder (Application by an existing CMSL holder for fund management to be converted to Islamic fund management and vice versa)
Form 7: Application for Variation of Regulated Activity for Capital Market Services Licence Holder (Cessation of regulated activity)
Form 7: Application for Variation of Regulated Activity for Capital Market Services Licence Holder (Subsequent addition of regulated activity)
Form 7: Application for Variation of Regulated Activity for Capital Market Services Licence Holder (Any other variation)
Form 8: Application for Variation of Regulated Activity for Representative - Cessation of regulated activity
Form 8: Application for Variation of Regulated Activity for Representative - Subsequent addition of regulated activity
Form WP1: Application for the Employment of Non-Malaysian Citizen under the Capital Markets and Services Act 2007 (by the principal)
Form WP2: Application for the Employment of Non-Malaysian Citizen under the Capital Markets and Services Act 2007 (by the applicant)
Form 12: Application for Change of Shareholders / Shareholdings
Form 13: Notice of Change Shareholders/ Shareholdings
Form 32: Profile of Individual Shareholder of Capital Markets Services Licence Holder
Form 35: Application for Registration of Recognised Representative
Notification of cessation of a Recognised Representative under the ASEAN Capital Markets Forum Pass Professional Mobility Framework
Marketing Representative (ComRep): Notification to the Commission on any person who has registered with principal as a marketing representative
Lodgement of any other document with the Commission where no fees are specifically provided
Certified copy of a licence: Request for certified true copy of a licence or any other document
Application for exemption or variation from any requirement imposed by the Commission pursuant to the Act or guidelines relating to licensing or registration under Part III of the Act
Application for Exemption from Securities Commission Licensing Exam (“SCLE”) requirement
Extension of Time: Application for extension of time for compliance with condition(s) imposed on licence that is approved-in-principle
Extension of Time: Application for extension of time other than for compliance with condition(s) imposed on licence that is approved-in-principle (1st application)
Extension of Time: Application for extension of time other than for compliance with condition(s) imposed on licence that is approved-in-principle (2nd application)
Appeal against the Commission’s decision in respect of the grant of a licence
Registered Person (RP)
Form R1: Application for Registration of Registered Person (VCPE)
Form R1: Application for Registration of Registered Person (CRA)
Form R1: Application for Registration of Registered Person (BPA)
Form R1: Application for Registration of Registered Person (Trustee)
Form R1: Application for Registration of Registered Person (DAC)
Form R1: Application for Registration of Registered Person (Issuing House)
Form R2: Appointment of Individual / Profile of Individual Shareholder (Appointment of Individual)
Form R1: Application for Registration of Registered Person (Section 76 / Section 76A - Where no fees are specifically provided)
Form R2: Appointment of Individual / Profile of Individual Shareholder (Profile of Individual Shareholder)
Form R4: Application for Individual Appointment
Form R7: Application for Change of Ownership
Form R8: Profile of Individual Shareholder
Form R9: Notice of Change of Ownership
Form R12: Regulatory Filing - Application for reappointment of director or committee member
Form R12: Regulatory Filing - Submission of audited financial statements or auditor’s report or other reporting
Form R12: Regulatory Filing - Submission of fit and proper declaration
Form R12: Regulatory Filing - Submission of annual or semi-annual or quarterly reporting
Form R12: Regulatory Filing - Notification of establishment of new business or acquisition of shares or interest within or outside Malaysia (for capital market-based activities)
Form R12: Regulatory Filing - Notification of establishment of new business or acquisition of shares or interest within or outside Malaysia (for non-capital market-based activities)
Form R12: Regulatory Filing - Notification of reappointment of director or committee member
Form R12: Regulatory Filing - Notification of vacancy of individual as specified in the guidelines relating to licensing or registration under Part III of the Act
Lodgement or deposit of documents: Lodgement of any other document with the Commission where no fees are specifically provided
Notification of change of corporate profile
Extension of Time: Application for extension of time for compliance with condition(s) imposed on registration that is approved-in-principle
Extension of Time: Application for extension of time other than for compliance with condition(s) imposed on registration that is approved-in-principle (1st application)
Extension of Time: Application for extension of time other than for compliance with condition(s) imposed on registration that is approved-in-principle (2nd application)
Application for exemption or variation from any requirement imposed by the Commission pursuant to the Act or guidelines relating to licensing or registration under Part III of the Act
Appeal against the Commission’s decision in respect of registration under section 76 or 76A of the Act (except for Shariah adviser)
LOLA (Application prior to Submissions through Lodge and Launch Online Submission System under the Lodge and Launch Framework)
Appeal against the Commission’s decision in respect of proposals and lodgement of documents and information under the Lodge and Launch Framework
Application for exemption or variation from requirements under the guidelines on requirements other than form and content in relation to lodgement or submission to the Commission
Application for exemption or variation from requirements under the guidelines on form and content in relation to lodgement or submission to the Commission
LOLA (Submissions through Lodge and Launch Online Submission System under the Lodge and Launch Framework)
Issuance of ringgit-denominated asset-backed securities
Issuance of ringgit-denominated debentures or sukuk: For issuances of commercial paper (CP) or Islamic commercial paper (ICP)
Issuance of ringgit-denominated debentures or sukuk: For issuances of debenture or sukuk other than commercial paper (CP) or Islamic commercial paper (ICP)
Non-LOLA (Submissions other than through Lodge and Launch Online Submission System under the Lodge and Launch Framework)
Application for extension of time
Registration of pricing supplement
Application for programme or one-off issuance facility of foreign currency denominated debentures or sukuk
Application to revise terms and conditions of debentures or sukuk which has been submitted to the Commission for approval and the Commission’s decision has yet to be made
Appeal against the Commission’s decision in respect of debentures and sukuk, other than debentures and sukuk under the Lodge and Launch Framework, under Divisions 1A, 3A and 4 of Part VI of the Capital Markets and Services Act 2007
Issuance of ringgit-denominated debentures or sukuk: For issuances of debenture or sukuk other than commercial paper (CP) or Islamic commercial paper (ICP)
Issuance of ringgit-denominated debentures or sukuk: For issuances of commercial paper (CP) or Islamic commercial paper (ICP)
Application to revise terms and conditions of debentures or sukuk which has been approved by the Commission and the debentures or sukuk have not yet been issued
Application for exemption or variation from requirements under the guidelines on requirements other than form and content in relation to submission to the Commission
Registration of abridged prospectus
Registration of supplementary or replacement prospectus
Registration of base prospectus
Registration of supplementary or replacement base prospectus
Registration of prospectus
Application for exemption or variation from requirements under the guidelines
Deposit of information memorandum
Application for programme or one-off issuance facility of ringgit-denominated debentures or sukuk (nominal value of securities to be issued is less than RM50 million)
Application for programme or one-off issuance facility of ringgit-denominated debentures or sukuk (nominal value of securities to be issued is RM50 million to less than RM100 million)
Application for programme or one-off issuance facility of ringgit-denominated debentures or sukuk (nominal value of securities to be issued is RM100 million and more)
Application for programme or one-off issuance facility of ringgit-denominated debentures or sukuk that are non-tradable and non-transferable on a private placement basis (nominal value of securities to be issued is less than RM1 billion)
Application for programme or one-off issuance facility of ringgit-denominated debentures or sukuk that are non-tradable and non-transferable on a private placement basis (nominal value of securities to be issued is RM1 billion and more)
Application for exemption or variation from requirements under the guidelines on form and content in relation to submission to the Commission
Application for exemption or variation from requirements under the guidelines on requirements other than form and content in relation to submission to the Commission
Lodgement of trust deed
Notification of an offering of debentures or sukuk under the Seasoned Bonds framework for the initial 12 month period (Initial Notification)
Notification of each subsequent offering of debentures or sukuk under the Seasoned Bonds framework after the Initial Notification
Acquisition or restructuring scheme resulting in significant change in business direction
Application for clearance of circular or introductory document
Preliminary Application Pack
Proposal
Registration of prospectus
Amalgamation of two or more listed corporations
Preliminary Application Pack
Application for clearance of circular or introductory document
Proposal
Business Trust
Registration of abridged prospectus for business trust
Appeal against decision of the Commission in relation to an application made
Application to revise a proposal which has been approved by the Commission
Preliminary Application Pack
Registration of deed - listed business trust
Registration of deed - unlisted business trust
Submission of deed (for listed business trust)
Exemption or variation from requirements under the guidelines on provisions other than form and content under Relief
Acquisition or restructuring scheme resulting in significant change in business direction or policy of a listed business trust
Other applications where no fees are specifically provided
Approval for the listing of a business trust
Authorisation or recognition of unlisted business trust
Application for clearance of circular or introductory document
Exemption or variation from requirements under the guidelines on form and content in relation to submission to the Commission (Relief)
Extension of time
Lodgement of documents
Registration of prospectus
Registration of supplementary or replacement prospectus for business trust
Registration or recognition of business trust
Secondary listing of recognised business trust
Application to revise a proposal which has been submitted to the Commission and the Commission’s decision has yet to be made
Submission of supplementary deed
Initial public offering
Preliminary Application Pack
Proposal
Registration of prospectus
Offering by unlisted public company
Offering of unlisted public company shares
Registration of disclosure document for offering by unlisted public company
Others
Application to revise a proposal which has been submitted to the Commission and the Commission’s decision has yet to be made
Appeal against decision of the Commission in relation to an application madE
Registration of pricing supplement
Other applications where no fees are specifically provided
Application by a corporate finance adviser to be recognised as recognised principal adviser as may be specified by the Commission
Application for clearance of circular or introductory document
Lodgement of disclosure document or deposit of information memorandum
Exemption or variation from requirements under the guidelines on form and content in relation to submission to the Commission (Relief)
Exemption or variation from requirements under the guidelines on provisions other than form and content in relation to submission to the Commission (Relief)
Extension of time
Notification on the appointment of qualified person as may be specified by the Commission
Registration of abridged prospectus
Registration of base prospectus
Registration of supplementary or replacement base prospectus
Registration of supplementary or replacement prospectus
Application for the Commission to make a determination on whether a proposal is considered an acquisition resulting in a significant change in business direction or policy of the corporation
Application to revise a proposal which has been approved by the Commission
Application for exemption or variation from requirements under the guidelines on form and content in relation to lodgement or submission to the Commission
Lodgement of product highlights sheet
Lodgement of replacement product highlights sheet
Lodgement of supplementary product highlights sheet
Structured products
Lodgement Fee: Lodgement of issuance of structured products under a programme
Issuance Fee: Lodgement of issuance of structured products under a programme
Exemption or variation from requirements under the guidelines on form and content in relation to any lodgement/submission to the Commission
Exemption or variation from requirements under the guidelines on provisions other than form and content in relation to any lodgement/submission to the Commission
Structured warrants
Registration of base prospectus
Registration of supplementary base prospectus
Registration of term sheet
Exemption or variation from requirements under the guidelines
Registration of replacement base prospectus
Registration of replacement or supplementary term sheets
Registration of further issuance term sheet
Clearance of Issuer Eligibility
Exemption from requirements under the Issuer Eligibility Guidelines – Structured Warrants
Other applications where no fees are specifically provided
Registration of supplementary or replacement term sheet
Authorisation of additional funds under an approved private retirement scheme (per fund)
Registration of disclosure document
Registration of supplementary disclosure document
Registration of replacement disclosure document
Registration of deed
Registration of supplementary deed
Exemption or variation from guidelines
Extension of time
Lodgment of documents (per document)
Lodgement of documents
Lodgement of documents (per document) - annual report of a fund
Application to change the name of private retirement scheme or fund
Unit trust fund, ETF, REIT and foreign fund
Lodgement of disclosure document or deposit of information memorandum
Appeal against decision of the Commission in relation to an application made
Registration of deed - listed scheme
Extension of time for REIT
Registration of supplementary or replacement prospectus for REIT
Registration of abridged prospectus for real estate investment trust
Lodgement of foreign exempt scheme
Lodgement of documents (per document) - annual report of a fund
Lodgement of documents (per document)
Lodgement of product highlights sheet (replacement)
Lodgement of product highlights sheet (initial)
Registration of supplementary deed
Registration of deed - unlisted scheme
Submission of deed (for listed scheme)
Establishment of unlisted fund (per fund)
Registration of supplementary or replacement prospectus other than REIT
Registration of prospectus
Other applications where no fees are specifically provided
Submission of a revised proposal or application to revise an approved proposal
Extension of time - Other than REIT
Exemption or variation from guidelines on provisions other than form and content in relation to submission to the Commission (per exemption or variation, per fund)
Exemption or variation from guidelines on form and content in relation to submission to the Commission (per exemption or variation, per fund)
Secondary listing of foreign listed schemes
Recognition of foreign listed fund (excluding real estate investment trust and exchange-traded fund) (per fund)
Recognition of foreign exchange-traded fund
Establishment of exchange-traded fund
Recognition of foreign real estate investment trust
Review of report on assessment by experts and valuations of MOG assets
Review of competent persons report relating to mineral, oil & gas resources
Review of valuation reports and certificates
Referral by Bursa Malaysia
Submission to SC (fee payment made via Property Valuation Online (PODS) system)
Application for exemption or variation from requirements under the guidelines on form and content in relation to submission to the Commission
Application for exemption or variation from requirements under the guidelines on requirements other than form and content in relation to submission to the Commission
Appeal against decision of the Commission in relation to an application made
Appeal against the Commission’s decision to be registered as recognized market operator
Lodgement of any other document with the Commission where no fees are specifically provided
Furnishing of supplementary prospectus registered with an equity crowdfunding operator to the Commission for lodgement
Furnishing of prospectus registered with an equity crowdfunding operator to the Commission for lodgement
Furnishing of supplementary white paper to the Commission for lodgement
Furnishing of white paper to the Commission for lodgement
Furnishing of supplementary white paper for the Commission’s review
Furnishing of white paper for the Commission’s review
Application for exemption or variation from requirements under the guidelines relating to recognised market operator
Application for extension of time other than for compliance with condition(s) imposed on registration that is approved-in-principle (2nd application)
Application for extension of time other than for compliance with condition(s) imposed on registration that is approved-in-principle (1st application)
Application for extension of time for compliance with condition(s) imposed on registration that is approved-in-principle
Form 12: Notification for changes, amendments, variation and deletion to rulebook for RMO
Application for registration as a recognised market operator under subsection 34(1) of the Act
Form 10: Notification on vacancy of the position of director, responsible person, chief executive and compliance officer
Form 9: Notification on change in particulars of a RMO
Form 8: Notification for establishment of new business or acquisition of shares or interests within or outside Malaysia (for non-capital market-based activities)
Form 8: Notification for establishment of new business or acquisition of shares or interests within or outside Malaysia (for capital market-based activities)
Form 7: Notification of change of director, responsible person, chief executive, compliance officer or shareholder of the RMO
Form 6: Application for introduction or offering of new products
Form 5: Application for providing or carrying out RMO - DAX other business model activities
Form 4: Application for Secondary Market activities
Form 3: Application for changes, amendments, variation and deletion to rulebook of a RMO
Form 2: Application for change of controller of RMO
Regulatory filing – annual compliance report
Regulatory filing – audited financial statement
Form 1: Application for registration as a RMO
Trading
Trading of securities or derivatives in recognised market operator