APPENDIX I

 

 

CHAPTER 7 – OFF-EXCHANGE TRADE VALIDATION

& REPORTING SYSTEM

 

 

 

 

 

 

 

 

 

 

 

APPLICATION FOR DIRECT PARTICIPATION

IN THE

OFF-EXCHANGE TRADE VALIDATION

& REPORTING SYSTEM

 

 

 

 

 

 

 

 

 

 

 

 

 

 

How to use this Application Form

 

 

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

 

                   The General Manager

                   Malta Stock Exchange

                   Garrison Chapel

                   Castille Place

                   Valletta CMR 01

                   Malta

 

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

 

3.             Applications will only be considered provided all relevant Sections have been completed and supporting documents and fees have been appended thereto.

 

4.             Should space provided not be sufficient, additional information may be entered on separate sheets with the heading “Continuation to Section __”  duly signed and dated.

 

5.             Misleading or incorrect information on any material point shall render the application invalid.

 

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

 

1.00            SECTION 1 – AUTHORISED INTERMEDIARY

 

 

1.01                        Applicant’s Name : ___________________________________________

 

 

 

1.02                        ISA Licence Ref*: _____________________________________________

 

·        In cases where the authorised intermediary is not licensed under the ISA but authorised by the MFSA kindly attach a copy of such authorisation.

 

 

 

1.03                        Registered Address *

 

           

Address :_________________________________________

 

              __________________________________________

 

              __________________________________________

 

Contact

 Person : __________________________________________

 

Design : ___________________________________________

 

Co. Reg

 No. :     ___________________________________________

 

Tel No : ___________________________________________

 

Fax No : ___________________________________________

 

E-mail :  ___________________________________________

 

·        The above information will appear on the Exchange’s List of Direct and Indirect Participants and all communications will be addressed accordingly.

 

 

 

 

1.04            Member of the Exchange                 YES                           NO

 

                   [Please tick as appropriate]

 

 

 

 

 

2.00            SECTION 2 – PARTICIPATION

 

Application is being made with respect to direct participation in the Off-Exchange Trade Validation and Reporting System.

 

(i)                  Access from own premises

(ii)                Access from Exchange premises

 

[Please delete as appropriate]

 

 

 

 

 

3.00            SECTION 3 – Persons Nominated to access the system (Reporters)

 

(i)                            Nominated Person  : ______________________________

 

                 ID Card No or

                  Equivalent identification: _________________________

 

(ii)                           Nominated Person : ______________________________

 

                 ID Card No or

                  Equivalent identification: _________________________

 

 

 

 

 

 

 

 

 

4.00            SECTION 4 – FEES

 

 

Attached please find :

 

 

Cheque No :                      __________________________

 

Bank :                                __________________________

 

Dated :                              __________________________

 

Amount :                            __________________________

 

 

in respect of applicable fees in terms of Council Notice 1.

 

 

 

 

 

5.00            SECTION 5 – DECLARATION BY APPLICANT

 

 

5.1              We/I declare that the information contained in this application is complete and correct.

 

5.2              We/I declare that the Authorised Intermediary, his officers and employees are aware of the provisions of the Act, Statute and Bye-laws and any other rules that may be in force from time to time and will comply with and be bound by all such relevant provisions.

 

5.3              We/I declare that the Authorised Intermediary will be responsible for and be bound by all the actions and omissions of its officers and employees in their activities in connection with the Exchange.

 

5.4              We/I declare that the Authorised Intermediary shall keep the Exchange notified of any significant changes in the information supplied in this application which occur after the date of submission of the application.

 

5.5              We/I declare that the applicant has obtained all relevant regulatory approvals.

 

 

 

 

Signature : _____________________       Signature : _______________________

 

 

Designation : ___________________       Designation : _____________________

 

 

 

Signed on behalf of [name of applicant]  _____________________ on [date] ___________