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
20 Oct 2017 Notice on Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services licence and Exempt Financial Institutions under the SFA [Notice No. SFA 04-N09]Directions - Notices
11 Jul 2017 Exemptions issued under s337(2) SFA - 2Q2017Exemptions
13 Jun 2017 MPI 02/2017 Revision of Annual Fees for Local RMO under 2nd Schedule of SF Markets RCirculars
13 Jun 2017 MPI 01/2017 Revision of Annual Fees for AE and ACHCirculars
24 Apr 2017 Exemptions issued under s337(2) SFA - 1Q2017Exemptions
20 Mar 2017 Exemptions issued under s337(2) SFA - 4Q2016Exemptions
03 Feb 2017 Lodgment Practice Note for Shares and DebenturesPractice Notes
03 Feb 2017 Lodgment Practice Note for Business TrustsPractice Notes
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

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Last Modified on 26/11/2016