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
17 May 2019 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
26 Apr 2019 FAQs on Minimum Entry and Examination RequirementsFAQs
23 Apr 2019 Exemptions issued under s3372 SFA 1Q2019Exemptions
23 Apr 2019 FAQs on Classification of Capital Markets ProductsFAQs
05 Apr 2019 A Guide to Digital Token OfferingsGuidelines
04 Apr 2019 Securities and Futures (Trading Venues for Derivatives Contracts in the European Union) Regulations 2019Regulations
04 Apr 2019 Practice Note on the Sale of Investment Products [SFA PN-01]Practice Notes
03 Apr 2019 FAQs on Licensing and Business Conduct (Other than for Fund Management Companies)FAQs
25 Mar 2019 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines
25 Mar 2019 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
18 Mar 2019 Securities and Futures (Trading Venues for Derivatives Contracts in the United States of America) Regulations 2019 Regulations
18 Mar 2019 Securities and Futures (Trading of Derivatives Contracts) Regulations 2019Regulations
01 Mar 2019 Notice on Supervision of Market Participants [Notice No. SFA02-N02]Directions - Notices
26 Feb 2019 Form 7 - Notification of Transmission of Title by Court Order Sub-AccCentral Depository System Forms
25 Feb 2019 Form 13 - Discharge of Sub-ChargeCentral Depository System Forms

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Last Modified on 17/10/2018