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 Jan 2019 Guidelines on Electronic Offers of Securities, Securities-based Derivatives Contracts or Units in Collective Investment Schemes [SFA 13-G20]Guidelines
17 Jan 2019 Guidelines on Risk Mitigation Requirements for Non-Centrally Cleared Over-The-Counter Derivatives Contracts [SFA04-G09]Guidelines
14 Jan 2019 Form 22 - Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the RegulationsForms
04 Jan 2019 Notice on the Sale of Investment Products [Notice No. SFA 04-N12]Directions - Notices
04 Jan 2019 Practice Note on the Sale of Investment Products [SFA PN-01]Practice Notes
02 Jan 2019 Securities and Futures (Reporting of Derivatives Contracts) (Amendment No. 2) Regulations 2018Regulations
18 Dec 2018 FAQs on the Definition of Accredited Investor and Opt In ProcessFAQs
10 Dec 2018 FAQs on Minimum Entry and Examination RequirementsFAQs
06 Dec 2018 FAQs on Fair and Balanced Advertising and Other Advertising RestrictionsFAQs
30 Nov 2018 A Guide to Digital Token OfferingsGuidelines
22 Nov 2018 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
20 Nov 2018 Notice on Supervision of Market Participants [Notice No. SFA02-N02]Directions - Notices
08 Nov 2018 Exemptions issued under s3372 SFA 3Q2018Exemptions
08 Nov 2018 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
02 Nov 2018 Form 23A - Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund ManagerForms

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Last Modified on 17/10/2018