Today is October 17, 2018

Capital Market Professionals

 
Forms for Capital Market Participants Registry System (CMPRS)

Form Type Description
CMPRS Form 1 Undertaking
CMPRS Form 2 Secretary`s Certificate
CMPRS Form 3 User Designation Form
  User Guide
CMPRS User Guide Cover Page
Request for An Account
Activate Approved Account
Logging In
Application for New Registration
Application for Annual Payment of Fees
Comply Deficiency
Pay Fees and Upload Payment Details
List of Authorized Landbank Branches

 
Initial Application

Form Type Description Law/SRC Provision
SEC Form 28-AP/28-AMD Registration of Associated Person of a Broker Dealer SRC Rule 28.1.5
SEC Form 28-S/28-AMD Registration of Salesman of a Broker Dealer SRC Rule 28.1.5
SEC Form IHU/GSED-CO-AP Application for Registration of Associated Person/ Compliance Officer of Investment House/Underwriter of Securities and Government Securities Eligible Dealers SEC Memorandum Circular No. 8, Series of 2004
SEC Form ICA-CO Registration of a Compliance Officer of an Investment Company Adviser/Manager SEC Memorandum Circular No. 8, Series of 2004
SEC Form ICA-CIS Registration of a Certified Investment Solicitor of an Investment Company Adviser/Manager Section 40 of the Investment Company Act

 

Payment of Annual Fees

Form Type Description Law/SRC Provision
SEC Form NELET-AF Covering/Endorsement Letter Implementing Rules and Regulations of the Securities and Regulation Code
SEC Form TLIST-AF-P Tabular List of Applicants