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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.

LCH Static Data Form(docfile doc - 779 KB)
SIX X-clear Static Data Form(docfile doc - 143 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)
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)
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)

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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