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
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
25 Feb 2019 Form 12 - Discharge of ChargeCentral Depository System Forms
25 Feb 2019 Form 11 - Re-assignmentCentral Depository System Forms
25 Feb 2019 Form 10 - Sub-ChargeCentral Depository System Forms
25 Feb 2019 Form 9 - ChargeCentral Depository System Forms
25 Feb 2019 Form 8 - AssignmentCentral Depository System Forms
25 Feb 2019 Form 5 - Notification of Bankruptcy of Sub-Account HolderCentral Depository System Forms
25 Feb 2019 Form 2 - Notification of Death or Dissolution of Sub-Account HolderCentral Depository System Forms
04 Feb 2019 FAQs on the Definition of Accredited Investor and Opt In ProcessFAQs
31 Jan 2019 Exemptions issued under s3372 SFA 4Q2018Exemptions
18 Jan 2019 Guidelines on Electronic Offers of Securities, Securities-based Derivatives Contracts or Units in Collective Investment Schemes [SFA 13-G20]Guidelines

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Last Modified on 17/10/2018