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Regulatory forms & agreements


Below you will find a number of forms commonly used by member firms for regulatory purposes. You can download, print, complete and return forms to the relevant Exchange departments.

Trading Service for ETFs – Static Data Form (pdffile pdf - 235 KB)
Trading Service for ETFs – Static Data Form Guidance Notes (pdffile pdf - 128 KB)
Order book for Retail Bonds - Static Data Form (pdffile pdf - 104 KB)
Order book for Retail Bonds - Static Data Form Guidance Notes (pdffile pdf - 59 KB)
IOB CCP Static Data Form   (pdffile pdf - 263 KB)
IOB Clearing Static Data Form - Guidance Notes  (pdffile pdf - 113 KB)
International Board CCP Static Data Form (pdffile pdf - 198 KB)  
International Board CCP Static Data Form - Guidance Notes  (pdffile pdf - 104 KB)
LCH SETS CCP Static Data Form  (pdffile pdf - 108 KB)
Application to trade in a suspended security (pdffile pdf - 88 KB)
When issued dealing application form (docfile doc - 491 KB)
Buying-In Request Manual Form (xlsfile xls - 60 KB)
Registration Information Form  (xlsfile xls - 49 KB)
Persons Authorised to Request Order Deletions (pdffile pdf - 127 KB)
Global Lending Agreement (pdffile pdf - 175 KB)
Request for additional Member IDs Trader Group IDs and Market Access (docfile doc - 128 KB)
Admission and disclosure application - Form 1 (docfile doc - 564 KB)
Restricted Instrument List Request - (docfile doc - 57 KB)
Liquidity Provider Form(xlsfile xls - 131 KB)
Fixed Income Static Data Form(pdffile pdf - 151 KB)

 

 

SETS CCP Static Data form
For Clearing (ICM or GCM) & Non-Clearing (NCM) Members to notify the London Stock Exchange of their arrangements for participation in the CCP service.

LCH SETS CCP Static Data Form (pdffile pdf - 108 KB)
LCH SETS CCP Static Data Form - Guidance Notes (pdffile pdf - 66 KB)     
x-clear SETS CCP Static Data Form (pdffile pdf - 107 KB)
x-clear SETS CCP Static Data Form - Guidance Notes (pdffile pdf - 62 KB)    

Settlement Arrangement Declaration Forms

For use by applicant and member firms in order to confirm to the London Stock Exchange their settlement arrangements with third party providers. Firms should complete one or both depending on the settlement arrangements in place. Each declaration must be fully completed and signed by both the firm and its settlement provider.

Settlement Agent Declaration Form (pdffile pdf - 22 KB)
Model B Settlement Agreement Declaration Form (pdffile pdf - 23 KB)

AIM Secondary Market Registered Organisation applications
 
Parties interested in becoming an AIM Secondary Market Registered Organisation should contact the Market Regulation & Policy team on +44 (0)20 7797 2190 or STX 32190 to obtain an application pack.

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