Cross-referenced from Rule 220(1)
| How to complete this application form • Before applying, you should fully understand the eligibility criteria and the obligations of registered professionals in the Rules. • Where any of the items below are not applicable to you, please state so explicitly on your registration form. • Submit this registration form together with all supporting information and documents and the required fee(s). To avoid any delay in processing your registration, all information and documents should be provided at the same time as the registration. • Return your completed registration form in 4 copies to Equity Capital Markets, 2 Shenton Way #02-02, SGX Centre 1, Singapore 068804. |
Part I Application
I, _______________________ (registered professional) apply to be registered by Singapore Exchange Securities Trading Limited (the Exchange) as a registered professional.
I intend to undertake the following activities with my sponsor (tick one or more as appropriate):
Introducing
Continuing
My sponsor *is / will be _______________________________ .
Part II Details of Application
NOTE: If the registered professional is seeking re-registration, he/she need only update the information last given to the Exchange.
1. Personal Details
(a) Full name
(b) Passport/ identity card number
(c) Residential address in Singapore
(d) Date of birth
(e) Nationality
(f) Qualifications (including degreesand certificates of regulatory examinations)
(g) A copy of the applicant's CV detailing employment history (including dates, organisations, positions held, and responsibilities)
(h) Description of experience in corporate finance, compliance or any other duties relating to sponsor activities (including date, name of client, extent of involvement etc)
(i) Contact details (office DID, home telephone, mobile, facsimile and email)
2. Qualifications and Experience
(a) Proof of applicant's current licenses (including Capital Markets Services representative's licence), registration or exempt status where applicable. If not yet issued, provide proof of approval.
(b) Proof of experience in relevant activities (as applicable — corporate finance advisory, related advisory, accounting, auditing or finance work) as required in Rule 204(7) and Rule 205(7).
(c) Details of current and former authorities and organisations regulating the applicant (in Singapore and elsewhere). Please include contact details as the Exchange may contact them.
(d) Details of memberships of professional bodies (in Singapore and elsewhere). Please include contact details as the Exchange may contact them.
3. Reputation and Track Record
(a) Details of any initial public offerings or reverse takeovers rejected by any regulatory authority or exchange (in Singapore or elsewhere) in the last 5 years, including reasons.
(b) Details of any offence, breach of contract, investigation or disciplinary action by a regulator, law enforcement agency, exchange or professional body over the last 10 years (in Singapore or elsewhere).
(c) Details of whether the applicant is under investigation (in Singapore or elsewhere).
(d) A statement whether there is or is not any adverse, or potentially adverse, matter which has been brought to the attention of any relevant regulatory body over the last 10 years (in Singapore or elsewhere).
(e) Details of whether the applicant has ever been denied a licence or had a membership or licence revoked by any authority, exchange, market, clearing house or professional body (in Singapore or elsewhere).
Part III Contractual
4. Agreement
By applying for registration I agree:
(a) That my registration (or refusal of it) is in the Exchange's absolute discretion. The Exchange may register me on any condition or restriction it decides. The Exchange is not obliged to give reasons.
(b) That the Exchange may contact the advisory panel or any organisation (regulatory or professional) about my application and may give them and receive from them any information or documents considered by the Exchange, the advisory panel or that organisation to be relevant.
(c) That the Exchange may enforce any action, disciplinary or otherwise, under the Rules.
(d) That the Exchange may make public any action taken and the reasons as set out in the Rules.
(e) To pay all fees, charges and costs under the Rules.
(f) To submit to the non-exclusive jurisdiction of the courts of Singapore.
(g) That the proper law of this agreement is Singapore law.
5. Undertaking
If the Exchange approves my application, I undertake to:
(a) Comply with the Rules (as amended from time to time), and all conditions and restrictions imposed by the Exchange.
(b) Discharge my responsibilities as a registered professional fairly and honestly.
(c) Notify the Exchange as soon as practicable if:
(i) I become subject to any investigation by a regulatory authority or law enforcement agency;
(ii) I become subject to any disciplinary action by a regulatory authority or law enforcement agency (other than the Exchange);
(iii) I am disqualified by a court form acting as a director of any company or from acting in the management or conduct of a company's affairs; or
(iv) I am no longer engaged in a proper capacity (e.g., full time) by my sponsor.
(d) Cooperate fully (by providing information, documents, and answers to queries) in any review or investigation conducted by the Exchange.
(e) Accept as final, binding and conclusive any decision made by the Exchange, or the Disciplinary Committee or Appeals Committee.
6. Warranty
I warrant to the Exchange that:
(a) All matters and information relevant to the application have been submitted to the Exchange.
(b) The information and documents provided with my application are complete and accurate. If any information or document is not available now, I will provide it to the Exchange before my application is approved.
(c) All additional information provided, whether at the request of the Exchange or pursuant to paragraph 6(b), will also be complete and accurate.
*Delete where not applicable.
| Dated:_____________________________ | |
| Signed by registered professional applicant: | _____________________________ |
| (Name of person signing) |
Part IV Declaration by Sponsor or Sponsor Applicant
7. Declaration
We declare to the Exchange that:
(a) We support this application.
(b) The above registered professional applicant is *employed full time by us / will be employed full time by us in the event this application is approved.
* Delete where not applicable.
| Dated: _________________ | |
| Signed on behalf of sponsor: | _____________________________ |
| (Name and designation of person signing) |
Amended on 1 February 20161 February 2016 and 7 February 20207 February 2020.