Securities Licence Forms & Documents

• SIBL Application Form for the Granting of a Licence

The above form is applicable for persons who are seeking to make an application for the granting of a Licence under Section 5(1) of the Securities Investment Business Law (SIBL) and as per Sections 6(1), 6(4), and 6(10) of SIBL.

• SIBL Application Checklist

The above checklist outlines the documentation to be submitted as part of the application.

• SIBL Licence Fees 

The completed licence application form and supporting documentation, together with the prescribed application fee(s), should be submitted to the address located at the bottom of this page. Click on the link above to access information on SIBL licence fees.

Disclaimer: 

Please note that entities registered as Excluded Persons are exempted from the requirement to obtain a licence to conduct securities investment business as they conduct business exclusively with persons or institutions as set out in Schedule 4 of the SIBL and are therefore not regulated by the Authority.

Please Note:

1. This declaration is to be submitted annually to the Authority by 31 January each year, together with the annual registration fee. (Please see our Fee Schedule). Cheques should be made payable to the Cayman Islands Government.
2. This declaration must be signed by a director or partner.
3. Please note that excluded persons under Schedule 4 are subject to the Money Laundering Regulations and Section 17(2)(v) of SIBL.
4. Electronic filing of the form will be accepted on the basis that original forms will be forwarded within one month.
5. When submitting the form please advise who will be responsible for dealing with queries and the payment of annual fees.

The completed form, together with the prescribed registration fee, should be submitted to:

Managing Director
Cayman Islands Monetary Authority
SIX, Cricket Square
171 Elgin Ave
George Town
Cayman Islands

Cyber Incident Report

• Cyber Incident Report

This form is intended to provide a systematic and standardized means of alerting the Authority of cyber breaches, and to provide periodic update reports through to incident resolution. A cyber incident should be reported immediately when it is deemed to have a material impact or has the potential to become a material incident. Material cyber threats may include instances of significant loss of data or system controls; potential to impact a significant volume of clients; where unauthorized parties are able to gain or has gained access to your systems; unauthorized parties are able to introduce material, software, viruses, or spyware to your systems; and/or alter or extract data from your systems.

Forms should be submitted to ContactSecurities@cima.ky.   

Personal Questionnaire

• Personal Questionnaire

Click the above link to download the Personal Questionnaire, which must be completed and submitted as part of the application.