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
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
07 Jun 2018 Exemptions issued under s337(2) SFA 1Q2018Exemptions
28 May 2018 Securities and Futures Amendment Act 2017 Commencement Notification 2018Notifications
28 May 2018 Guidelines on the Regulation of Short Selling [SFA 07A-G01]Guidelines
28 May 2018 Securities and Futures (Short Selling) Regulations 2018Regulations
23 May 2018 FAQs on Classification of Capital Markets ProductsFAQs
21 May 2018 FAQs on Lodgement of Financial ReturnsFAQs
15 Mar 2018 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms

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Last Modified on 26/11/2016