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.
Order book for Retail Bonds - Static Data Form (
file pdf - 104 KB)
Order book for Retail Bonds - Static Data Form Guidance Notes (file pdf - 59 KB)
IOB Clearing Static Data Form - Guidance Notes (file pdf - 48 KB)
IOB Clearing Static Data Form (file pdf - 103 KB)
LCH.Clearnet CCP Static Data Form (
file doc - 161 KB)
Application to trade in a suspended security (file pdf - 36 KB)
When issued dealing application form (file doc - 491 KB)
Buying-In Request Manual Form (
file xls - 21 KB)
Registration Information Form (file pdf - 43 KB)
Persons Authorised to Request Order Deletions (file pdf - 44 KB)
Global Lending Agreement (file pdf - 175 KB)
Request for additional Member IDs Trader Group IDs and Market Access (file doc - 128 KB)
Admission and disclosure application - Form 1 (file doc - 588 KB)
CCP for Equities 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.Clearnet CCP Static Data Form (file doc - 161 KB)
x-clear CCP Static Data Form (file doc - 136 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 (file pdf - 22 KB)
Model B Settlement Agreement Declaration Form (file pdf - 23 KB)