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
22 Jul 2014 Exemptions issued under s337(2) SFA - 1Q2014Exemptions
21 Jul 2015 Exemptions issued under s337(2) SFA -  2Q2015Exemptions
17 Jan 2012 Code on Credit Rating AgenciesCodes
01 Jan 2016 Code on Collective Investment SchemesCodes
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
28 Oct 2015 CMI 03/2015 Circular to Fund Management Companies on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct Circulars
28 Oct 2015 CMI 02/2015 Circular to Broker-Dealers on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct Circulars
07 Feb 2011 CMI 01/2011: Due Diligence Checks and Documentation in Respect of the Appointment of Appointed Provisional and Temporary RepresentativesCirculars
21 Oct 2010 CMD 01/2010 Issue of Guidelines on the Product Highlights Sheet (SFA 13-G10) and Guidelines on Ongoing Disclosure Requirements for Unlisted Debentures (SFA 13-G11)Circulars
01 Oct 2009 CISNet User GuidePractice Notes
22 Aug 2016 Circular on Margin Requirements for Non-Centrally Cleared DerivativesCirculars
15 Oct 2004 Business Continuity Management GuidelinesGuidelines
21 Jun 2002 Applications under Section 273(5)Practice Notes
14 Nov 2017 A Guide to Digital Token OfferingsGuidelines

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Last Modified on 26/11/2016