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
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
14 Dec 2016 FAQs on Two-Factor Authentication for Online Trading PlatformsFAQs
06 Dec 2016 MPI 02/2016 Circular on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsCirculars
06 Dec 2016 Guidelines on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsGuidelines
18 Nov 2016 Exemptions issued under s337(2) SFA - 3Q2016Exemptions
01 Nov 2016 Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2016Regulations
01 Nov 2016 Securities and Futures (Licensing and Conduct of Business)(Amendment) Regulations 2016Regulations
01 Nov 2016 Guidelines on Licence Applications, Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
01 Nov 2016 Form 3 - Application for Approval to Act as a Trustee for Collective Investment Schemes under Section 289(1)Collective Investment Schemes
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
10 Oct 2016 Guidelines on the Regulation of Clearing Facilities [Guideline No. SFA 03-G01]Guidelines
10 Oct 2016 FAQs on the Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013FAQs
30 Aug 2016 Securities and Futures (Offers of Investments) (Shares) (Exemption for Units of Shares) Regulations 2016Regulations
22 Aug 2016 Circular on Margin Requirements for Non-Centrally Cleared DerivativesCirculars
18 Aug 2016 Securities and Futures (Amendment) Act 2012 (Commencement) Notification 2016Notifications

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Last Modified on 26/11/2016