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
28 Oct 2015 CMI 04/2015 Circular to Corporate Finance Firms on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business ConductCirculars
02 Nov 2015 Securities and Futures (Reporting of Derivatives Contracts) (Amendment) Regulations 2015Regulations
30 Nov 2015 Guidelines to MAS Notice SFA04-N02 on Prevention of Money Laundering and Countering the Financing of Terrorism - Capital Markets IntermediariesGuidelines
30 Nov 2015 Guidelines to MAS Notice SFA13-N01 on Prevention of Money Laundering and Countering the Financing of Terrorism - Approved TrusteesGuidelines
30 Nov 2015 Notice to Capital Markets Intermediaries on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA04-N02]Directions - Notices
30 Nov 2015 Notice to Capital Markets Intermediaries on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA04-N02]
30 Nov 2015 Notice to Approved Trustees on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA13-N01]Directions - Notices
18 Dec 2015 Exemptions issued under s337(2) SFA - 3Q2015Exemptions
31 Dec 2015 Form 1 - Notification of Death or Dissolution of Account HolderCentral Depository System Forms
31 Dec 2015 Form 2 - Notification of Death or Dissolution of Sub-Account HolderCentral Depository System Forms
31 Dec 2015 Form 3 - Notification of Death or Dissolution of Joint Account HolderCentral Depository System Forms
31 Dec 2015 Form 4 - Notification of Bankruptcy of Account HolderCentral Depository System Forms
31 Dec 2015 Guidelines to MAS Notice SFA03AA-N01 on Prevention of Money Laundering and Countering the Financing of TerrorismGuidelines
31 Dec 2015 Notice to the Depository on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA03AA-N01]Directions - Notices
31 Dec 2015 Securities and Futures (Central Depository System) Regulations 2015Regulations

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Last Modified on 26/11/2016