A P P E N D I X   II

 

CHAPTER 3 - MEMBERSHIP

 

 

 

 

 

 

 

 

 

APPLICATION FOR TRADERS

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

How to use this Application Form

 

 

1.                  Applicants must submit a completed Application Form together with any supporting documents to :

 

The General Manager

Malta Stock Exchange

Garrison Chapel

Castille Place

Valletta  CMR 01

 

2.                  The application should be read in conjunction with the Financial Markets Act       [Cap 345] and the Bye-laws of the Malta Stock Exchange [available on www.borzamalta.com.mt]

 

3.                  Applications will only be considered provided that all relevant sections have been completed and supporting documents have been appended.

 

4.                  A separate application must be completed for each individual nominated trader.

 

5.                  Should space provided not be sufficient, additional information may be entered on a separate sheet with the heading “Continuation to Section ___”, duly signed and dated.

 

6.                  Misleading or incorrect information on any material point will render the application invalid.

 

7.                  All information submitted in the application is for the sole use of the Exchange and will not be divulged to third parties other than the Competent Authority as deemed appropriate.

 

8.                  If such application is being submitted with an application for Membership, Sections 3, 4 and 5 do not need to be completed.

 

 

 

 

 

 

 

 

 

 

1.00     SECTION 1 - APPLICATION

 

 

            We [Member] ___________________________________________ hereby apply to appoint [name of candidate] ______________________________ as a trader to represent our Firm  on the Floor of the Malta Stock Exchange.

 

            Signature (Member)                  __________________________________________

 

            Name in blocks                        __________________________________________

 

            Date                                         __________________________________________

 

            Address of Member                 __________________________________________

 

                                                            __________________________________________

 

            Telephone No                          __________________________________________

 

            Fax No                                                __________________________________________

 

            E-mail                                      __________________________________________

 

            I.S.A. Licence Reference          __________________________________________

 

            Issued on                                  __________________________________________

 

 

 

2.00     SECTION 2 – PERSONAL DETAILS OF CANDIDATE

 

 

2.01     Surname                                   __________________________________________

 

            Name                                       __________________________________________

 

            Title                                          __________________________________________

 

            Identity Card No                      __________________________________________

 

            [Please append copy of Identity Card]

 

 

2.02          Position [if any] of candidate held with Member ______________________ since [date] ______________________.

 

 

2.03          Date of Birth                             __________________________________________

 

Place of Birth                            __________________________________________

 

Nationality                                __________________________________________

 

 

2.04     Academic / Professional Qualifications :

 

            __________________________________________________________________

 

            __________________________________________________________________

 

            __________________________________________________________________

 

 

 

3.00     SECTION 3 - SHAREHOLDING

 

 

            Give details of the shareholding in the Member firm on whose behalf the trader will be acting and any voting rights attached thereto of the applicant trader [“NIL” reply is also required].

 

            Shareholding                                                                 Rights

 

 

            ________________________                                    ________________________

 

 

 

4.00     SECTION 4 – OTHER BUSINESS INTERESTS

 

 

            On Supplementary Sheets, kindly provide answers to the following questions [“NIL” returns are also required].

 

 

 

 

 

 

(i)                  Are you a director, officer or employee of any companies or corporations engaged in relevant activities to that of the applicant Member?

 
 
 


YES                                                                             NO     

 

If YES, please provide details.

 

____________________________________________________________

 

____________________________________________________________

 

(ii)                Do you have any controlling interest, directly or indirectly in any public company?

 
 
 


YES                                                                             NO     

 

If YES, please provide details.

 

____________________________________________________________

 

____________________________________________________________

 

 

 

5.00     SECTION 5 - FEES

 

 

            Attached please find :

 

            Cheque No :     _______________

 

            Bank:               _______________

 

            Dated :             _______________

 

            Amount :          _______________

 

            in respect of trader fees in terms of Council Notice No 1.

 

 

 

 

6.00     SECTION 6 – DECLARATION BY PROSPECTIVE TRADER

 

 

            I, ______________________________ declare that the answers to the above questions are true in all respects.

 

 

            Signature :  _______________________                        Date :  ________________

 

 

 

7.00     SECTION 7 –

 

DECLARATION BY MEMBER SUBMITTING APPLICATION

 

 

1.      We declare that the information contained in this application is complete and correct.

 

2.      We declare that _______________________ [name of trader] is aware of the provisions of the Act, Statute and Bye-laws that may be in force from time to time and will comply with and be bound by all such relevant provisions.

 

3.      We declare that we will be responsible for and bound by all the actions and omissions of _______________________ [name of trader] in his / her activities in connection with the Malta Stock Exchange.

 

4.      We declare that we will keep the Malta Stock Exchange notified of any significant changes in the information supplied in this application which occur after the date of submission of the application and prior to receiving notification of the Exchange’s decision.

 

5.      We declare that the Member has presented a Personal Questionnaire to the Competent Authority in respect of _______________________ [name of trader] which has been duly approved.

 

 

Signature          _______________                  Signature          _______________

 

Des                  _______________                  Des                  _______________

 

Signed on behalf of [name of Member] ________________________ on [date] _________________.

 

 

A D D E N D U M

 

 

 

1.                  The Central Bank of Malta is exempted from completion of Sections 3 and 4 of such application.

 

 

2.                  The Council of the Malta Stock Exchange may exempt prospective applicants from completing all or any of the sections of this application.