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
21 Jun 2002 Applications under Section 273(5)Practice Notes
15 Oct 2004 Business Continuity Management GuidelinesGuidelines
22 Aug 2016 Circular on Margin Requirements for Non-Centrally Cleared DerivativesCirculars
01 Oct 2009 CISNet User GuidePractice Notes
21 Oct 2010 CMD 01/2010 Issue of Guidelines on the Product Highlights Sheet (SFA 13-G10) and Guidelines on Ongoing Disclosure Requirements for Unlisted Debentures (SFA 13-G11)Circulars
07 Feb 2011 CMI 01/2011: Due Diligence Checks and Documentation in Respect of the Appointment of Appointed Provisional and Temporary RepresentativesCirculars
28 Oct 2015 CMI 02/2015 Circular to Broker-Dealers on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct Circulars
28 Oct 2015 CMI 03/2015 Circular to Fund Management Companies on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct Circulars
28 Oct 2015 CMI 04/2015 Circular to Corporate Finance Firms on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business ConductCirculars
01 Jan 2016 Code on Collective Investment SchemesCodes
17 Jan 2012 Code on Credit Rating AgenciesCodes
21 Jul 2015 Exemptions issued under s337(2) SFA -  2Q2015Exemptions
22 Jul 2014 Exemptions issued under s337(2) SFA - 1Q2014Exemptions
29 Apr 2015 Exemptions issued under s337(2) SFA - 1Q2015Exemptions
26 May 2016 Exemptions issued under s337(2) SFA - 1Q2016Exemptions
24 Apr 2017 Exemptions issued under s337(2) SFA - 1Q2017Exemptions
11 Aug 2016 Exemptions issued under s337(2) SFA - 2Q2016Exemptions
11 Jul 2017 Exemptions issued under s337(2) SFA - 2Q2017Exemptions
07 Mar 2014 Exemptions issued under s337(2) SFA - 3Q2013Exemptions
18 Dec 2015 Exemptions issued under s337(2) SFA - 3Q2015Exemptions
18 Nov 2016 Exemptions issued under s337(2) SFA - 3Q2016Exemptions
18 Mar 2015 Exemptions issued under s337(2) SFA - 4Q2014Exemptions
20 Mar 2017 Exemptions issued under s337(2) SFA - 4Q2016Exemptions
03 Oct 2013 Exemptions issued under s337(2) SFA - 2Q2013Exemptions
05 Sep 2014 Exemptions issued under s337(2) SFA - 2Q2014Exemptions
24 Oct 2014 Exemptions issued under s337(2) SFA - 3Q2014Exemptions
15 May 2014 Exemptions issued under s337(2) SFA - 4Q2013Exemptions
03 Feb 2016 Exemptions issued under s337(2) SFA - 4Q2015Exemptions
11 Jun 2013 Exemptions issued under s337(2) SFA - 1Q2013Exemptions
26 Nov 2010 FAQ on Mutual Recognition of MAS and Thai SEC Product Knowledge ExaminationsFAQs
18 Jul 2013 FAQs on Compliance with Principles For Financial Market InfrastructuresFAQs
17 Jan 2012 FAQs on Credit Rating AgenciesFAQs
15 Oct 2014 FAQs on Disclosure of InterestsFAQs
06 Aug 2012 FAQs on Exempt PersonsFAQs
11 Jun 2013 FAQs on ExemptionsFAQs
28 May 2004 FAQs on Lending of Singapore Dollar to Non-Resident Financial Institutions for Holders of a Capital Markets Services LicenceFAQs
08 Jun 2016 FAQs on Lending-based CrowdfundingFAQs
13 Aug 2008 FAQs on Licensing Requirements under Securities and Futures ActFAQs
01 Oct 2007 FAQs on Lodgement of Financial ReturnsFAQs
06 Aug 2012 FAQs on Minimum Entry and Examination RequirementsFAQs
05 Aug 2016 FAQs on Offers of Shares, Debentures and CISFAQs
06 Aug 2012 FAQs on Prohibited Representations by Exempt Persons under the 2nd Schedule to the Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
29 Sep 2017 FAQs on Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
12 Jun 2009 FAQs on the ASEAN and Plus Standards SchemeFAQs
20 Oct 2017 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
22 Oct 2013 FAQs on the Memorandum of Understanding under the EU's Alternative Investment Fund Managers DirectiveFAQs
10 Oct 2016 FAQs on the Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013FAQs
14 Dec 2016 FAQs on Two-Factor Authentication for Online Trading PlatformsFAQs
17 Jan 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of ParticularsForms
23 Oct 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of Particulars Forms
06 Sep 2007 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
01 Aug 2013 Form 1 - Application for Approval as an Approved Holding CompanyApproved Holding Companies Forms
01 Aug 2013 Form 1 - Application for Approval or RecognitionClearing Facilities Forms
30 Sep 2011 Form 1 - Application for Authorisation of a Collective Investment Scheme under Section 286(1) (Last updated on 30 Sep 2011)Collective Investment Schemes
01 Aug 2013 Form 1 - Application for Trade Repository Licence or Foreign Trade Repository LicenceTrade Repositories Forms
13 Jan 2014 Form 1 - General Lodgment Form (Offers of Business Trusts)Offers of Business Trusts
13 Jan 2014 Form 1 - General Lodgment Form (Offers of Shares and Debentures)Offers of Shares and Debentures
20 Dec 2006 Form 1 - Statement of assets and liabilitiesForms
31 Dec 2015 Form 1 - Notification of Death or Dissolution of Account HolderCentral Depository System Forms
01 Jul 2005 Form 10 - Notice calling for claims against fidelity fund of an approved exchange under section 188(1) of the Securities and Futures Act (Cap. 289)Markets Forms
23 Oct 2012 Form 10 - Notice for Change of Principal Place of Business / Notice for Change of Place at which Register of Interests in Securities is KeptForms
17 Jan 2012 Form 10 - Notice for Change of Principal Place of Business / Notice for Change of Place at which Register of Interests in Securities is KeptForms
09 Jun 2005 Form 10 -Statement of exposure to margin customersForms
31 Dec 2015 Form 10 - Sub-ChargeCentral Depository System Forms
17 Jan 2012 Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to ExecutiveForms
18 Oct 2016 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
01 Jul 2005 Form 11 - Notice of disallowance of claim against fidelity fund of an approved exchange under section 189(4) of the Securities and Futures Act (Cap. 289)Markets Forms
31 Dec 2015 Form 11 - Re-assignmentCentral Depository System Forms
09 Jun 2005 Form 11 - Statement of exposure to margined single securityForms
31 Dec 2015 Form 12 - Discharge of ChargeCentral Depository System Forms
31 Dec 2015 Form 13 - Discharge of Sub-ChargeCentral Depository System Forms
26 Nov 2010 Form 13 - Risk Disclosure Statement Required to be Furnished and Kept by the Holder of a Capital Markets Services Licence to Trade in Futures Contracts or Leveraged Foreign Exchange ContractsForms
31 Dec 2015 Form 14 - Approval for Change in Depository FeeCentral Depository System Forms
26 Nov 2010 Form 14 Risk Disclosure Statement Required to be Furnished under Regulation 47E(2) and to be kept under Regulation 39(2)(d) by the holder of a Capital Markets Services Licence for Fund Management relating to Management of Portfolio of Futures Contracts, and Foreign ExchangeForms
23 Oct 2012 Form 15 - Register of Interests in Securities Forms
26 Nov 2010 Form 15A - Register of Interests in Extended Settlement ContractsForms
27 Nov 2010 Form 16 - Notification to Change Particulars for a Representative (Hardcopy Format)Forms
01 Jul 2005 Form 17 - Notice Calling for Claims against Deposit lodged with the AuthorityForms
16 Sep 2015 Form 1A - Application for a Capital Markets Services Licence for Fund Management Company Forms
30 Oct 2013 Form 1A - Notification on Becoming a Significant Derivatives HolderReporting of Derivatives Contracts Forms
30 Oct 2013 Form 1B - Notification on Ceasing to be a Significant Derivatives HolderReporting of Derivatives Contracts Forms
20 Oct 2017 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
30 Sep 2011 Form 2 - Application for Recognition of a Collective Investment Scheme under Section 287(1) (Last updated on 30 Sep 2011)Collective Investment Schemes
01 Jul 2005 Form 2 - Information on chief executive officer and directorsMarkets Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsApproved Holding Companies Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsTrade Repositories Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsClearing Facilities Forms
31 Dec 2015 Form 2 - Notification of Death or Dissolution of Sub-Account HolderCentral Depository System Forms
20 Dec 2006 Form 2 - Statement of financial resources, total risk requirement and aggregate indebtednessForms
26 Nov 2010 Form 20 - Notice of Cessation of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
26 Nov 2010 Form 21 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
01 Apr 2013 Form 22 - Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
07 Jan 2013 Form 22A - Notice of Commencement of Business as a Registered Fund Management Company Forms
26 Nov 2010 Form 23 - Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance Forms
26 Nov 2010 Form 23- Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance Forms
11 Jan 2017 Form 23A - Notice of Change of Particulars for Registered Fund Management Company Forms
26 Nov 2010 Form 24 - Notice of Cessation of Business by Persons Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
07 Jan 2013 Form 24A - Notice of Cessation of Business as a Registered Fund Management Company Forms
26 Nov 2010 Form 25 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
07 Jan 2013 Form 25A- Annual Declaration by a Registered Fund Management CompanyForms

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Last Modified on 26/11/2016