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
26 May 2014 SRD TR 01/2014 System Vulnerability Assessments and Penetration TestingCirculars
15 May 2014 Exemptions issued under s337(2) SFA - 4Q2013Exemptions
28 Mar 2014 Securities and Futures (Licensing and Conduct of Business) RegulationsRegulations
07 Mar 2014 Exemptions issued under s337(2) SFA - 3Q2013Exemptions
06 Mar 2014 Guidelines on Short Selling Disclosure [Guideline No SFA 15-G02]Guidelines
06 Mar 2014 Notice on Reporting of Suspicious Activities & Incidents of Fraud [Notice No. CMG-N01]Directions - Notices
06 Mar 2014 Guidelines on the Application of Section 339 (Extra-Territoriality) of the Securities and Futures Act [Guideline No. SFA 15-G01]Guidelines
06 Mar 2014 Notice on Technology Risk Management [Notice No. CMG-N02]Directions - Notices
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
31 Oct 2013 Securities and Futures (Trade Repositories) Regulations 2013Regulations
30 Oct 2013 Form 1B - Notification on Ceasing to be a Significant Derivatives HolderReporting of Derivatives Contracts Forms
30 Oct 2013 Form 1A - Notification on Becoming a Significant Derivatives HolderReporting of Derivatives Contracts Forms
30 Oct 2013 Securities and Futures (Amendment) Act 2012 Commencement (No. 3) Notification 2013Notifications
30 Oct 2013 Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013Regulations
22 Oct 2013 FAQs on the Memorandum of Understanding under the EU's Alternative Investment Fund Managers DirectiveFAQs
03 Oct 2013 Exemptions issued under s337(2) SFA - 2Q2013Exemptions
20 Aug 2013 SRD TR 02/2013 MAS Circular (Cancellation) 2013Circulars
07 Aug 2013 Securities and Futures Amendment Act 2012 Commencement (No.2) Notification 2013Notifications
01 Aug 2013 Form 5 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonTrade Repositories Forms
01 Aug 2013 Form 4 - Application to Impose or Change Reporting FeeTrade Repositories Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesTrade Repositories Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsTrade Repositories Forms
01 Aug 2013 Form 1 - Application for Trade Repository Licence or Foreign Trade Repository LicenceTrade Repositories Forms
01 Aug 2013 Securities and Futures (Clearing Facilities) Regulations 2013Regulations
01 Aug 2013 Securities and Futures (Clearing Facilities) (Exemption) Regulations 2013Regulations
01 Aug 2013 Form 4 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonApproved Holding Companies Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesApproved Holding Companies Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsApproved Holding Companies Forms
01 Aug 2013 Form 1 - Application for Approval as an Approved Holding CompanyApproved Holding Companies Forms
01 Aug 2013 Form 6 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonClearing Facilities Forms
01 Aug 2013 Form 5 - Application to Impose or Change Clearing FeeClearing Facilities Forms
01 Aug 2013 Form 4 - Application for Change in StatusClearing Facilities Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesClearing Facilities Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsClearing Facilities Forms
01 Aug 2013 Form 1 - Application for Approval or RecognitionClearing Facilities Forms
01 Aug 2013 SECURITIES AND FUTURES (CORPORATE GOVERNANCE OF APPROVED EXCHANGES DESIGNATED CLEARING HOUSES AND APPROVED HOLDING COMPANIES) REGULATIONS 2005Regulations
25 Jul 2013 Securities and Futures (Clearing Facilities) (Savings and Transitional Provisions) Regulations 2013Regulations
18 Jul 2013 FAQs on Compliance with Principles For Financial Market InfrastructuresFAQs
11 Jun 2013 Exemptions issued under s337(2) SFA - 1Q2013Exemptions
11 Jun 2013 FAQs on ExemptionsFAQs
07 May 2013 Form 25B - Auditor's Report for a Registered Fund Management CompanyForms
02 Apr 2013 Guidelines on Addressing Conflicts of Interest arising from a Related Corporation Issuing or Promulgating Research Analyses or Research Reports [SFA 04-G06] Guidelines
02 Apr 2013 Securities and Futures (Closed-End Fund) (Excluded Arrangements) Notification 2013 (G.N. No. S 185/2013)Notifications
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
28 Mar 2013 Securities and Futures (Markets) Regulations 2005Regulations
28 Mar 2013 Securities and Futures (Composition of Offences) RegulationsRegulations
18 Mar 2013 Securities and Futures (Amendment) Act 2012 (Commencement) Notification 2013Notifications
07 Jan 2013 Form 25A- Annual Declaration by a Registered Fund Management CompanyForms
07 Jan 2013 Form 24A - Notice of Cessation of Business as a Registered Fund Management Company Forms
07 Jan 2013 Form 22A - Notice of Commencement of Business as a Registered Fund Management Company Forms
11 Dec 2012 Notice on the Sale of Investment Products [Notice No. SFA 04-N12]Directions - Notices
11 Dec 2012 Practice Note on the Sale of Investment Products [SFA PN-01]Practice Notes
07 Dec 2012 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (EXEMPTION FOR AIA AGENCY SHARE PURCHASE PLAN) REGULATIONS 2012 (G.N. No. S 602/2012)Regulations
19 Nov 2012 Securities and Futures (Disclosure of Interests) Regulations 2012 (G.N. No. S 504/2012)Regulations
23 Oct 2012 Form 15 - Register of Interests in Securities 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
23 Oct 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of Particulars Forms
19 Sep 2012 Securities and Futures (Amendment) Act (Commencement) Notification 2012Notifications
06 Aug 2012 FAQs on Minimum Entry and Examination RequirementsFAQs
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
06 Aug 2012 Notice on Prohibited Representations made by Exempt Persons under the 2nd Schedule to the Securities & Futures (Licensing & Conduct of Business) Regulations [Notice No. SFA 04-N07]Directions - Notices
06 Aug 2012 FAQs on Exempt PersonsFAQs
02 May 2012 SECURITIES AND FUTURES (PRESCRIBED SECURITIES) REGULATIONS 2012 (G.N. No. S 177/2012)Regulations
02 May 2012 SECURITIES AND FUTURES (PRESCRIBED SECURITIES) (EXEMPTION) REGULATIONS 2012Regulations
17 Jan 2012 FAQs on Credit Rating AgenciesFAQs
17 Jan 2012 Code on Credit Rating AgenciesCodes
17 Jan 2012 Form 8 - Notification for the Cessation of a Representative in any or all of the Regulated Activities (Hardcopy Format)Forms
17 Jan 2012 Form 7 - Notice of Cessation of BusinessForms
17 Jan 2012 Form 6 - Notification to Add Activity(ies) of a Representative (Hardcopy Format)Forms
17 Jan 2012 Form 5 - Application for Additional Regulated Activity under a Capital Markets Services LicenceForms
17 Jan 2012 Form 3C - Notification for Appointment of a Temporary Representative (Hardcopy Format)Forms
17 Jan 2012 Form 3A - Notification for Appointment of an Appointed Representative (Hardcopy Format)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
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
17 Jan 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of ParticularsForms
17 Jan 2012 Securities And Futures Act (Amendment Of Second Schedule And Other Provisions For Provision Of Credit Rating Services) Order 2012Orders
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
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
06 Sep 2011 Guidelines for Financial Institutions to Safeguard the Integrity of Singapore's Financial SystemGuidelines
13 May 2011 Guidelines on Applications for Approval of Arrangements under Paragraph 9 of the Third Schedule to the Securities and Futures Act [Guideline No. SFA04-G03]Guidelines
19 Apr 2011 Guidelines on the Cancellation Period of Unlisted Debentures [Guideline No. SFA 13-G12]Guidelines
19 Apr 2011 Notice on the Cancellation Period of Unlisted Debentures [Notice No. SFA 04/13-N02]Directions - Notices
15 Mar 2011 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (COLLECTIVE INVESTMENT SCHEMES) (EXEMPTION FROM EXPERT'S CONSENT REQUIREMENT) REGULATIONS 2011 (G.N. No. S 149/2011)Regulations
09 Feb 2011 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (SHARES AND DEBENTURES) (EXEMPTION FROM SUBDIVISIONS (2) AND (3) OF DIVISION 1 OF PART XIII FOR REIT BONDS) REGULATIONS 2011 (G.N. No. S 51/2011)Regulations
07 Feb 2011 CMI 01/2011: Due Diligence Checks and Documentation in Respect of the Appointment of Appointed Provisional and Temporary RepresentativesCirculars
27 Nov 2010 Form 3D - Notification of the Completion of Examination Requirements by a Provisional Rep (Hardcopy Format)Forms
27 Nov 2010 Form 3B - Notification for Appointment of a Provisional Representative (Hardcopy Format)Forms
27 Nov 2010 Form 16 - Notification to Change Particulars for a Representative (Hardcopy Format)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
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
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 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
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 Notice of Change of Particulars 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 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
26 Nov 2010 FAQ on Mutual Recognition of MAS and Thai SEC Product Knowledge ExaminationsFAQs
26 Nov 2010 Notice to Persons Exempted Under Reg 2(2) of the Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations (Rg 11) from the Requirement under Section 82(1) of the Securities and Futures Act (Cap. 289) to Hold a Capital Markets Services Licence for the Regulated Activity of Trading in Futures Contracts and Representatives of Such Persons [Notice No. SFA 04-N08]Directions - Notices
26 Nov 2010 Form 29 - Notice of Cessation of Business / any Regulated Activity(s) by a Persons Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 28 - Declaration by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms

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Last Modified on 26/11/2016