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 Jul 2018 Form 23A - Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund ManagerForms
06 Jul 2018 Notice on the Sale of Investment Products [Notice No. SFA 04-N12]Directions - Notices
03 Jul 2018 Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive (For Licensed Fund Management Companies)Forms
03 Jul 2018 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines
12 Jun 2018 FAQs on Securities and Futures Act and Financial Advisers Act Activities Validation via the Data Validation Module in the Representative Notification System FAQs
12 Jun 2018 FAQs on Product DefinitionsFAQs
08 Jun 2018 Financial Advisers (Amendment No. 2) Regulations 2018Regulations
08 Jun 2018 Financial Advisers (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Capital Markets Products) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Licensing and Conduct of Business) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Offers of Investments) (Collective Investment Schemes) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Offers of Investments) (Business Trusts) (No. 2) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Offers of Investments) (Shares and Debentures) (Amendment) Regulations 2018Regulations
08 Jun 2018 Guidelines on Maintaining Records of Approval for Advertisements or Publications [SFA 13-G16]Guidelines
08 Jun 2018 Practice Note on the Product Highlights SheetPractice Notes

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Last Modified on 26/11/2016