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
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
26 Nov 2010 Form 27 - Notice of Change of Particulars by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 26 - Notice of Commencement of Business/ Additional Regulation Activity(s) by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)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 15A - Register of Interests in Extended Settlement ContractsForms
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
26 Nov 2010 Notice on Reporting of Misconduct of Representatives by Holders of Capital Markets Services Licence and Exempt Financial Institutions [Notice No. SFA 04-N11]Directions - Notices
26 Nov 2010 Notice on Entry Requirements of a Provisional or Temporary Representative [Notice No. SFA 04-N10]Directions - Notices
26 Nov 2010 Securities and Futures (Amendment) Act (Commencement) (No. 2) Notification 2010Notifications
26 Nov 2010 Securities and Futures (Representatives) (Transitional and Savings Provisions) Regulations 2010Regulations
26 Nov 2010 Securities and Futures (Exemption from Section 99B) Regulations 2010Regulations
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
21 Oct 2010 Guidelines on the Product Highlights Sheet [Guideline No. SFA 13-G10]Guidelines
21 Oct 2010 Guidelines on Ongoing Disclosure Requirements for Unlisted Debentures [Guideline No. SFA 13-G11]Guidelines
07 Sep 2010 Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) RegulationsRegulations
11 Aug 2010 Securities and Futures Investor Compensation Scheme Order 2010Orders
02 Aug 2010 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTIONS) REGULATIONS 2006Regulations
01 Jun 2010 Securities and Futures (Recognised Securities Exchange) Order 2005 (G.N. No. S 609/2005)Orders
29 Mar 2010 Securities and Futures (Amendment) Act (Commencement) Notification 2010Notifications
29 Mar 2010 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (PRESCRIBED PERIOD AND PRESCRIBED DAY FOR REGISTRATION OF PROSPECTUS AND PROFILE STATEMENT) REGULATIONS 2010Regulations
26 Mar 2010 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2010Notifications
09 Mar 2010 Form 8 - Notice to Non-Assenting Participant Under Section 295A(4)Collective Investment Schemes
09 Mar 2010 Form 7 - Notice to Dissenting Participant Under Section 295A(1)Collective Investment Schemes
30 Dec 2009 Form 9 - Application for appointment of chairman, chief executive officer director, or key personsMarkets Forms
01 Oct 2009 CISNet User GuidePractice Notes
28 Sep 2009 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (COLLECTIVE INVESTMENT SCHEMES) (EXEMPTION FROM PROSPECTUS REQUIREMENTS) REGULATIONS 2009 (G.N. No. S 441/2009)Regulations
15 Sep 2009 Notice on Annual Declaration for Notifications of Restricted Schemes [Notice No. SFA 13-N02]Directions - Notices
29 Jul 2009 Securities and Futures (Amendment) Act (Commencement) (No.2) Notification 2009Notifications
22 Jun 2009 Monetary Authority of Singapore (Freezing of Assets of Persons - Democratic People's Republic of Korea) Regulation 2009Circulars
12 Jun 2009 FAQs on the ASEAN and Plus Standards SchemeFAQs
22 May 2009 Trustee's Responsibility for Safe Custody of Assets of a Collective Investment SchemeCirculars
20 Apr 2009 Securities and Futures (Amendment) Act (Commencement) Notification 2009Notifications
20 Apr 2009 Securities and Futures (Offers of Investments) (Disapplication of Division 2 of Part XIII) Order 2009 (G.N. No. S 161/2009)Orders
20 Feb 2009 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN PREFERENCE SHARES) REGULATIONS 2009Regulations
09 Jan 2009 REITS: Treatment of Refinancing Under The Aggregate Leverage LimitCirculars
13 Aug 2008 FAQs on Licensing Requirements under Securities and Futures ActFAQs
28 Jul 2008 Survey and Thematic Inspection of Hedge Fund ManagersCirculars
25 Jul 2008 Securities and Futures Act (Amendment of the Second Schedule and Other Provisions to Act for REIT Management) Order 2008Orders
15 Jul 2008 Securities and Futures (Offers of Investments) (Shares and Debentures) (Specified Entities For Issuing Structured Notes) (No. 2) Notification 2008 (G.N. No. S 357/2008)Notifications
11 Jul 2008 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN PREFERENCE SHARES) REGULATIONS 2008Regulations
11 Jul 2008 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN PREFERENCE SHARES) (NO. 2) REGULATIONS 2008Regulations
28 Mar 2008 Guidelines on the Calculation of Counterparty Risk Requirement for Specified Structured Warrants under Paragraph 3(2) of the Third Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N02] Guidelines
29 Feb 2008 Securities and Futures (Offers of Investments) (Shares and Debentures) (Specified Entities For Issuing Structured Notes) Notification 2008 (G.N. No. S 106/2008)Notifications
04 Feb 2008 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (SHARES) (EXEMPTION FROM PROSPECTUS REQUIREMENTS) REGULATIONS 2008 (G.N. No. S 56/2008)Regulations
31 Jan 2008 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FROM SECTION 199) REGULATIONS 2008 (G.N. No. S 57/2008)Regulations
14 Jan 2008 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (SHARES AND DEBENTURES) (EXEMPTION FOR SECURITIES TRADING ON PHILLIP SECURITIES OTC CAPITAL) REGULATIONS 2008 (G.N. No. S 9/2008)Regulations
07 Dec 2007 Guidelines on the Specification of Entities under Sub-paragraph (b)(vi) of the Definition of "Qualifying Deposit" in Paragraph 1(4) of the Second Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N01]Guidelines
06 Nov 2007 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (SHARES AND DEBENTURES) (EXEMPTION FOR UNITS OF SHARES) REGULATIONS 2007 (G.N. No. S 609/2007)Regulations
28 Sep 2007 Securities and Futures (Appeal Advisory Panel) Notification 2007Orders
06 Sep 2007 Form 4 - Application for exemption from the requirement to be an approved exchange or a recognised market operatorMarkets Forms
06 Sep 2007 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
27 Aug 2007 Form for transfer to a Capital Markets Services Representative's LicenceCommodity Trading Act
27 Aug 2007 Form for transfer to a Capital Markets Services LicenceCommodity Trading Act
27 Aug 2007 SECURITIES AND FUTURES (PROVISIONS FOR PERSONS AND MATTERS PREVIOUSLY REGULATED UNDER COMMODITY TRADING ACT) REGULATIONS 2007Regulations
02 Jul 2007 Notice to Approved Trustees on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA13-N01]Directions - Notices
02 Jul 2007 MAS Notice SFA13-N01 (Cancellation) 2007Directions - Notices
02 Jul 2007 MAS Notice SFA04-N02 (Cancellation) 2007Directions - Notices
01 Jul 2007 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2007Notifications
01 Jun 2007 Securities and Futures (Offers of Investments) (Use Of Term "Real Estate Investment Trust") Order 2007 (G.N. No. S 227/2007)Orders
19 Mar 2007 Guidelines on Duty of Substantial Shareholders to Notify Securities Exchange [Cancelled with effect from 19 Nov 2012]Guidelines
01 Mar 2007 SECURITIES AND FUTURES (APPROVED HOLDING COMPANIES) REGULATIONS 2005Regulations
28 Feb 2007 MAS Notice SFA13-N01 (Amendment) 2007Directions - Notices
28 Feb 2007 MAS Notice SFA04-N02 (Amendment) 2007Directions - Notices
12 Jan 2007 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN PREFERENCE SHARES) REGULATIONS 2007Regulations
29 Dec 2006 Guidelines to MAS Notice SFA13-N01Directions - Notices
20 Dec 2006 Form 6 - Statement relating to the accounts of a holder of a capital markets services licenceForms
20 Dec 2006 Form 5 - Statement of financial resources and total risk requirementForms
20 Dec 2006 Form 2 - Statement of financial resources, total risk requirement and aggregate indebtednessForms
20 Dec 2006 Form 1 - Statement of assets and liabilitiesForms
13 Dec 2006 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (EXEMPTION FOR BUSINESS TRUSTS) REGULATIONS 2006 (G.N. No. S 669/2006)Regulations
13 Dec 2006 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN PREFERENCE SHARES) (NO. 5) REGULATIONS 2006Regulations
15 Sep 2006 Guidelines on the Permissible Use of Customers' Money and Assets by Designated Clearing Houses under Section 63 of the Securities and Futures Act (Cap.289) [Guideline No. SFA 03-G02] [Cancelled with effect from 26 Oct 16]Guidelines
16 Jun 2006 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (EXEMPTION FOR SMP SHARE PURCHASE PLAN) REGULATIONS 2006 (G.N. No. S 344/2006)Regulations
26 Apr 2006 Securities and Futures (Appeal Advisory Panel) Notification 2006Notifications
29 Mar 2006 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (SHARES AND DEBENTURES) (EXEMPTION FROM PROSPECTUS AND PRICING STATEMENT REQUIREMENTS) REGULATIONS 2006 (G.N. No. S 182/2006)Regulations

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Last Modified on 26/11/2016