Intermediaries

• Licensing forms

• Financial returns

• Audit questionnaire

• Business & risk management questionnaire

• Account disclosure document

• Analysis of client assets for associated entity

• Subordinated Loan Application Guidelines & Proforma Agreements

Trading

• Section 181 return

• OTC Securities Transactions Reporting

• Short position reporting

Takeovers and mergers

Disclosure of interests

• Forms & Notes for Filing DI Notice

Investment products