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 securities
(ii) Trading in futures contracts;
(iii) Leveraged foreign exchange trading;
(iv) Advising on corporate finance;
(v) Fund management;
(vi) Securities financing;
(vii) Providing custodial services for securities;
(viii) Real estate investment trust management; and
(ix) Providing credit rating services

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Date Title
11 Dec 2017 Form 25A- Annual Declaration by a Registered Fund Management Company or a Venture Capital Fund ManagerForms
27 Nov 2017 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
27 Nov 2017 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines
24 Nov 2017 FAQs on Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
14 Nov 2017 A Guide to Digital Token OfferingsGuidelines
03 Nov 2017 Exemptions issued under s337(2) SFA - 3Q2017Exemptions
20 Oct 2017 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
20 Oct 2017 Notice on Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences [Notice No. SFA 04-N13]Directions - Notices
20 Oct 2017 Notice on Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services licence and Exempt Financial Institutions under the SFA [Notice No. SFA 04-N09]Directions - Notices
11 Jul 2017 Exemptions issued under s337(2) SFA - 2Q2017Exemptions
13 Jun 2017 MPI 02/2017 Revision of Annual Fees for Local RMO under 2nd Schedule of SF Markets RCirculars
13 Jun 2017 MPI 01/2017 Revision of Annual Fees for AE and ACHCirculars
24 Apr 2017 Exemptions issued under s337(2) SFA - 1Q2017Exemptions
20 Mar 2017 Exemptions issued under s337(2) SFA - 4Q2016Exemptions
03 Feb 2017 Lodgment Practice Note for Shares and DebenturesPractice Notes

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Last Modified on 26/11/2016