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
24 Oct 2014 Form 3A - Notification for the Appointment of an Appointed Representative (Licensed Fund Management Companies)Forms
15 Oct 2014 FAQs on Disclosure of InterestsFAQs
26 Sep 2014 SRD TR 02/2014 IT Security Risks Posed by Personal Mobile DevicesCirculars
26 Sep 2014 Securities and Futures (Offers of Investments) (Exemption for PruPerformance Share Scheme) Regulations 2014 (G.N. No. S 623/2014)Regulations
05 Sep 2014 Exemptions issued under s337(2) SFA - 2Q2014Exemptions
22 Jul 2014 Exemptions issued under s337(2) SFA - 1Q2014Exemptions
01 Jul 2014 Notice to Approved Trustees on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA13-N01] [July 2014]Directions - Notices
01 Jul 2014 Securities and Futures (Reporting of Derivatives Contracts) (Exemption) Regulations 2014Regulations
01 Jul 2014 Securities and Futures (Prescribed Futures Contracts) (Amendment No. 2) Regulations 2014Regulations
01 Jul 2014 Securities and Futures (Markets) (Amendment No. 2) Regulations 2014Regulations
26 May 2014 SRD TR 01/2014 System Vulnerability Assessments and Penetration TestingCirculars
15 May 2014 Exemptions issued under s337(2) SFA - 4Q2013Exemptions
28 Mar 2014 Securities and Futures (Licensing and Conduct of Business) RegulationsRegulations
07 Mar 2014 Exemptions issued under s337(2) SFA - 3Q2013Exemptions
06 Mar 2014 Guidelines on Short Selling Disclosure [Guideline No SFA 15-G02]Guidelines

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Last Modified on 26/11/2016