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

Clear Filter

View 15 per page | View 100 per page | View all

Date Title
18 Dec 2015 Exemptions issued under s337(2) SFA - 3Q2015Exemptions
30 Nov 2015 Guidelines to MAS Notice SFA04-N02 on Prevention of Money Laundering and Countering the Financing of Terrorism - Capital Markets IntermediariesGuidelines
30 Nov 2015 Guidelines to MAS Notice SFA13-N01 on Prevention of Money Laundering and Countering the Financing of Terrorism - Approved TrusteesGuidelines
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

View 15 per page | View 100 per page | View all

Back to top

Last Modified on 26/11/2016