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 CCP Static Data Form   (file pdf - 198 KB)
IOB Clearing Static Data Form - Guidance Notes  (file pdf - 113 KB)
International Board CCP Static Data Form (file pdf - 198 KB)  
International Board CCP Static Data Form - Guidance Notes  (file pdf - 104 KB)
LCH SETS CCP Static Data Form  (file pdf - 108 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 - 154 KB)
Registration Information Form (file pdf - 99 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 - 564 KB)
Restricted Instrument List Request - (file doc - 54 KB)
Liquidity Provider Form
(file xls - 115 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 (file pdf - 108 KB)
LCH SETS CCP Static Data Form - Guidance Notes (file pdf - 66 KB)     
x-clear SETS CCP Static Data Form (file pdf - 107 KB)
x-clear SETS CCP Static Data Form - Guidance Notes (file 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 (file pdf - 22 KB)
Model B Settlement Agreement Declaration Form (file pdf - 23 KB)