Securities, Futures and Fund Management

Activities pertaining to Securities, Futures and Funds Management are governed under the Securities and Futures Act. The Act puts in place the rules and regulations concerning markets, market operators, clearing facilities, intermediaries and representatives. Regulated activities include:
(i) Dealing in capital markets products;
(ii) Advising on corporate finance;
(iii) Fund management;
(iv) Real estate investment trust management;
(v) Product financing;
(vi) Providing credit rating services; and
(vii) Providing custodial services

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Date Title
10 Oct 2018 Form 2 - Information on chief executive officer and directorsMarkets Forms
10 Oct 2018 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
10 Oct 2018 Form 3 - Information on shareholders and subsidiariesMarkets Forms
10 Oct 2018 Form 5 - Application for change in statusMarkets Forms
10 Oct 2018 Form 6 - Monthly statistics to be submitted by an approved exchange operating an organised market in respect of specified productsMarkets Forms
10 Oct 2018 Quarterly statistics to be submitted by an approved exchange operating an organised market in respect of organised market in respect of specified products Markets Forms
10 Oct 2018 Form 8 - Monthly statistics to be submitted by an approved exchange operating an organised market in respect of derivatives contracts Markets Forms
10 Oct 2018 Form 9 - Application for appointment of chairman, chief executive officer director, or key personsMarkets Forms
10 Oct 2018 Form 10 - Notice calling for claims against fidelity fund of an approved exchange under section 188(1) of the Securities and Futures Act (Cap. 289)Markets Forms
10 Oct 2018 Form 11 - Notice of disallowance of claim against fidelity fund of an approved exchange under section 189(4) of the Securities and Futures Act (Cap. 289)Markets Forms
09 Oct 2018 Securities and Futures (Offers of Investments) (Use of Term “Real Estate Investment Trust”) (Amendment No. 2) Order 2018Orders
09 Oct 2018 Financial Advisers (Amendment No. 5) Regulations 2018Regulations
09 Oct 2018 Securities and Futures (Amendment) Act 2017 (Saving and Transitional Provisions for Classes of Investors) Regulations 2018Regulations
09 Oct 2018 Securities and Futures (Classes of Investors) Regulations 2018Regulations
08 Oct 2018 Form 1 - Application for Approval of Member of Oversight Committee for Designated BenchmarksBenchmarks

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Last Modified on 17/10/2018