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 Aug 2013 Form 1 - Application for Approval as an Approved Holding CompanyApproved Holding Companies Forms
06 Sep 2007 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
23 Oct 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of Particulars Forms
17 Jan 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of ParticularsForms
08 Jun 2018 Financial Advisers (Amendment) Regulations 2018Regulations
08 Jun 2018 Financial Advisers (Amendment No. 2) Regulations 2018Regulations
14 Dec 2016 FAQs on Two-Factor Authentication for Online Trading PlatformsFAQs
10 Oct 2016 FAQs on the Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013FAQs
22 Oct 2013 FAQs on the Memorandum of Understanding under the EU's Alternative Investment Fund Managers DirectiveFAQs
27 Nov 2017 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
12 Jun 2009 FAQs on the ASEAN and Plus Standards SchemeFAQs
12 Jun 2018 FAQs on Securities and Futures Act and Financial Advisers Act Activities Validation via the Data Validation Module in the Representative Notification System FAQs
24 Nov 2017 FAQs on Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
06 Aug 2012 FAQs on Prohibited Representations by Exempt Persons under the 2nd Schedule to the Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
12 Jun 2018 FAQs on Product DefinitionsFAQs

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Last Modified on 26/11/2016