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
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
02 Nov 2015 Securities and Futures (Reporting of Derivatives Contracts) (Amendment) Regulations 2015Regulations
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
16 Sep 2015 Form 1A - Application for a Capital Markets Services Licence for Fund Management Company Forms
03 Sep 2015 Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01]Guidelines
23 Jul 2015 Securities and Futures (Prescribed Futures Contracts) (Amendment) Regulations 2015Regulations
21 Jul 2015 Exemptions issued under s337(2) SFA -  2Q2015Exemptions
07 Jul 2015 Guidelines on Good Drafting Practices for Prospectuses [Guideline No. SFA 13-G14]Guidelines
01 Jul 2015 Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) RegulationsRegulations
29 Apr 2015 Exemptions issued under s337(2) SFA - 1Q2015Exemptions
18 Mar 2015 Exemptions issued under s337(2) SFA - 4Q2014Exemptions

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Last Modified on 26/11/2016