FORMS AVAILABLE FOR DOWNLOAD

FINANCIAL AND CORPORATE SERVICE PROVIDERS

Application Form
Application for a Financial and Corporate Service Licence (PDF)  (Word)

INVESTMENT FUNDS

Application Forms

Application for an Investment Fund Licence (PDF)      (Word)

Application for Registration as a Recognized Foreign Fund (PDF)      (Word)
Application for an Investment Fund Administrators Licence  (PDF)      (Word)

Application for an Exemption from obtaining an Investment Fund Administrators Licence (PDF)    (Word)

Annual Declarations

Annual Declaration for an Investment Fund

Annual Declaration for an Investment Fund Administrator

Annual Declaration for a non-Bahamas based Investment Fund Representative

Other Forms/ Information

Notice/Information on New Legislation

Notice/Information for the Transfer of an Investment Fund from The Bahamas

Application for the Approval of a Representative for a non-Bahamas based Investment Fund

Application for the Approval of the Re-Launch of a Dormant Fund

Notification of Retirement or Dismissal of an Investment Funds Administrator

Notice/Information of the Change in Investment Funds Administrator

Application for Approval of Publication of Advertisement or other Invitation made to the Public in The Bahamas

Fees under the Investment Funds Act & Regulations
Guidelines for Fast Track Application Process for Licensing of investment funds

SECURITIES

Application Forms

Application for Registration as a Broker Dealer   (PDF)      (Word)    
Application for Registration as a Broker Dealer (Licensees of the Central Bank) (PDF)      (Word)  
Application for Registration as a Securities Investment Advisor  (PDF)      (Word)  
Application for Registration as a Broker or Stockbroker   (PDF)      (Word)  Form C   
Application for Registration as Securities Investment Advisor    (PDF)      (Word)
Application for Registration as an Associated Person   (PDF)      (Word)
Application for Licensing as a Principal   (PDF)      (Word)  

Other Forms/ Information
Fees under the Securities Industry Act & Regulations     
Registered Firm Annual Information Update Form (PDF)

Forms are in MS Word and Adobe Acrobat (PDF) format.  For the latest free version of Adobe Acrobat please click here.