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 Oct 2013 FAQs on the Memorandum of Understanding under the EU's Alternative Investment Fund Managers DirectiveFAQs
10 Oct 2016 FAQs on the Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013FAQs
14 Dec 2016 FAQs on Two-Factor Authentication for Online Trading PlatformsFAQs
17 Jan 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of ParticularsForms
23 Oct 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of Particulars Forms
06 Sep 2007 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
01 Aug 2013 Form 1 - Application for Approval as an Approved Holding CompanyApproved Holding Companies Forms
01 Aug 2013 Form 1 - Application for Approval or RecognitionClearing Facilities Forms
30 Sep 2011 Form 1 - Application for Authorisation of a Collective Investment Scheme under Section 286(1) (Last updated on 30 Sep 2011)Collective Investment Schemes
01 Aug 2013 Form 1 - Application for Trade Repository Licence or Foreign Trade Repository LicenceTrade Repositories Forms
13 Jan 2014 Form 1 - General Lodgment Form (Offers of Business Trusts)Offers of Business Trusts
13 Jan 2014 Form 1 - General Lodgment Form (Offers of Shares and Debentures)Offers of Shares and Debentures
20 Dec 2006 Form 1 - Statement of assets and liabilitiesForms
31 Dec 2015 Form 1 - Notification of Death or Dissolution of Account HolderCentral Depository System Forms
01 Jul 2005 Form 10 - Notice calling for claims against fidelity fund of an approved exchange under section 188(1) of the Securities and Futures Act (Cap. 289)Markets Forms

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Last Modified on 26/11/2016