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
06 Feb 2018 Exemptions issued under s337(2) SFA - 4Q2017Exemptions
22 Jan 2018 Form 25A- Annual Declaration by a Registered Fund Management Company or a Venture Capital Fund ManagerForms
16 Jan 2018 Lodgment Practice Note for Collective Investment SchemesPractice Notes
05 Jan 2018 Securities and Futures (Offers of Investments) (Shares and Debentures) (Amendment) Regulations 2017Regulations
05 Jan 2018 Securities and Futures (Offers of Investments) (Business Trusts) (No. 2) (Amendment) Regulations 2017Regulations
24 Nov 2017 FAQs on Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
14 Nov 2017 A Guide to Digital Token OfferingsGuidelines
03 Nov 2017 Exemptions issued under s337(2) SFA - 3Q2017Exemptions
20 Oct 2017 Notice on Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences [Notice No. SFA 04-N13]Directions - Notices
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

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Last Modified on 26/11/2016