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
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
11 Aug 2016 Exemptions issued under s337(2) SFA - 2Q2016Exemptions
08 Aug 2016 Securities and Futures (Prescribed Futures Contracts) (Amendment) Regulations 2016Regulations
08 Aug 2016 Securities and Futures (Markets) (Amendment) Regulations 2016Regulations
05 Aug 2016 FAQs on Offers of Shares, Debentures and CISFAQs
27 Jul 2016 SRD TR 01/2016 - MAS Circular (Cancellation) 2016Circulars
12 Jul 2016 Guidelines on Criteria for the Grant of a Capital Markets Services Licence Other Than for Fund Management and Real Estate Investment Trust Management [Guideline No SFA04-G01]Guidelines
16 Jun 2016 Notice on Financial Market Infrastructure Standards [Notice No. SFA02A/03-N01]Directions - Notices
16 Jun 2016 Notice on Financial Market Infrastructure Standards for CSDs [Notice No. SFA03AA-N02]Directions - Notices

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Last Modified on 26/11/2016