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
11 Jul 2018 Form 23A - Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund ManagerForms
06 Jul 2018 Notice on the Sale of Investment Products [Notice No. SFA 04-N12]Directions - Notices
03 Jul 2018 Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive (For Licensed Fund Management Companies)Forms
03 Jul 2018 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines
12 Jun 2018 FAQs on Securities and Futures Act and Financial Advisers Act Activities Validation via the Data Validation Module in the Representative Notification System FAQs
12 Jun 2018 FAQs on Product DefinitionsFAQs
08 Jun 2018 Financial Advisers (Amendment No. 2) Regulations 2018Regulations
08 Jun 2018 Financial Advisers (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Capital Markets Products) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Licensing and Conduct of Business) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Offers of Investments) (Collective Investment Schemes) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Offers of Investments) (Business Trusts) (No. 2) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Offers of Investments) (Shares and Debentures) (Amendment) Regulations 2018Regulations
08 Jun 2018 Guidelines on Maintaining Records of Approval for Advertisements or Publications [SFA 13-G16]Guidelines
08 Jun 2018 Practice Note on the Product Highlights SheetPractice Notes
07 Jun 2018 Exemptions issued under s337(2) SFA 1Q2018Exemptions
28 May 2018 Securities and Futures Amendment Act 2017 Commencement Notification 2018Notifications
28 May 2018 Guidelines on the Regulation of Short Selling [SFA 07A-G01]Guidelines
28 May 2018 Securities and Futures (Short Selling) Regulations 2018Regulations
23 May 2018 FAQs on Classification of Capital Markets ProductsFAQs
21 May 2018 FAQs on Lodgement of Financial ReturnsFAQs
15 Mar 2018 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
06 Feb 2018 Exemptions issued under s337(2) SFA - 4Q2017Exemptions
22 Jan 2018 Form 25A- Annual Declaration by a Registered Fund Management Company or a Venture Capital Fund ManagerForms
16 Jan 2018 Lodgment Practice Note for Collective Investment SchemesPractice Notes
05 Jan 2018 Securities and Futures (Offers of Investments) (Shares and Debentures) (Amendment) Regulations 2017Regulations
05 Jan 2018 Securities and Futures (Offers of Investments) (Business Trusts) (No. 2) (Amendment) Regulations 2017Regulations
01 Jan 2018 Code on Collective Investment SchemesCodes
27 Nov 2017 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
24 Nov 2017 FAQs on Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
14 Nov 2017 A Guide to Digital Token OfferingsGuidelines
03 Nov 2017 Exemptions issued under s337(2) SFA - 3Q2017Exemptions
20 Oct 2017 Notice on Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences [Notice No. SFA 04-N13]Directions - Notices
20 Oct 2017 Notice on Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services licence and Exempt Financial Institutions under the SFA [Notice No. SFA 04-N09]Directions - Notices
11 Jul 2017 Exemptions issued under s337(2) SFA - 2Q2017Exemptions
13 Jun 2017 MPI 02/2017 Revision of Annual Fees for Local RMO under 2nd Schedule of SF Markets RCirculars
13 Jun 2017 MPI 01/2017 Revision of Annual Fees for AE and ACHCirculars
24 Apr 2017 Exemptions issued under s337(2) SFA - 1Q2017Exemptions
20 Mar 2017 Exemptions issued under s337(2) SFA - 4Q2016Exemptions
03 Feb 2017 Lodgment Practice Note for Shares and DebenturesPractice Notes
03 Feb 2017 Lodgment Practice Note for Business TrustsPractice Notes
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
14 Dec 2016 FAQs on Two-Factor Authentication for Online Trading PlatformsFAQs
06 Dec 2016 MPI 02/2016 Circular on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsCirculars
06 Dec 2016 Guidelines on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsGuidelines
18 Nov 2016 Exemptions issued under s337(2) SFA - 3Q2016Exemptions
01 Nov 2016 Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2016Regulations
01 Nov 2016 Securities and Futures (Licensing and Conduct of Business)(Amendment) Regulations 2016Regulations
01 Nov 2016 Guidelines on Licence Applications, Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
01 Nov 2016 Form 3 - Application for Approval to Act as a Trustee for Collective Investment Schemes under Section 289(1)Collective Investment Schemes
10 Oct 2016 Guidelines on the Regulation of Clearing Facilities [Guideline No. SFA 03-G01]Guidelines
10 Oct 2016 FAQs on the Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013FAQs
30 Aug 2016 Securities and Futures (Offers of Investments) (Shares) (Exemption for Units of Shares) Regulations 2016Regulations
22 Aug 2016 Circular on Margin Requirements for Non-Centrally Cleared DerivativesCirculars
18 Aug 2016 Securities and Futures (Amendment) Act 2012 (Commencement) Notification 2016Notifications
11 Aug 2016 Exemptions issued under s337(2) SFA - 2Q2016Exemptions
08 Aug 2016 Securities and Futures (Prescribed Futures Contracts) (Amendment) Regulations 2016Regulations
08 Aug 2016 Securities and Futures (Markets) (Amendment) Regulations 2016Regulations
05 Aug 2016 FAQs on Offers of Shares, Debentures and CISFAQs
27 Jul 2016 SRD TR 01/2016 - MAS Circular (Cancellation) 2016Circulars
12 Jul 2016 Guidelines on Criteria for the Grant of a Capital Markets Services Licence Other Than for Fund Management and Real Estate Investment Trust Management [Guideline No SFA04-G01]Guidelines
16 Jun 2016 Notice on Financial Market Infrastructure Standards [Notice No. SFA02A/03-N01]Directions - Notices
16 Jun 2016 Notice on Financial Market Infrastructure Standards for CSDs [Notice No. SFA03AA-N02]Directions - Notices
08 Jun 2016 FAQs on Lending-based CrowdfundingFAQs
08 Jun 2016 Guidelines on the Advertising Restrictions [Guideline No. SFA 13-G15]Guidelines
08 Jun 2016 Guidelines on Personal Offers made pursuant to the Exemption for Small OffersGuidelines
26 May 2016 Exemptions issued under s337(2) SFA - 1Q2016Exemptions
19 May 2016 Securities and Futures (Offers of Investments) (Exemption for Offers of Post-seasoning Debentures) Regulations 2016Regulations
19 May 2016 Securities and Futures (Offers of Investments) (Exemption for Offers of Straight Debentures) Regulations 2016Regulations
03 Feb 2016 Exemptions issued under s337(2) SFA - 4Q2015Exemptions
28 Jan 2016 Securities and Futures (Reporting of Derivatives Contracts) (Amendment) Regulations 2016Regulations
01 Jan 2016 Guidelines to all holders of a Capital Markets Services Licence for Real Estate Investment Trust ManagementGuidelines
01 Jan 2016 Notice to all holders of a Capital Markets Services Licence for Real Estate Investment Trust Management [MAS Notice SFA04-N14]Directions - Notices
31 Dec 2015 Form 14 - Approval for Change in Depository FeeCentral Depository System Forms
31 Dec 2015 Form 13 - Discharge of Sub-ChargeCentral Depository System Forms
31 Dec 2015 Form 12 - Discharge of ChargeCentral Depository System Forms
31 Dec 2015 Form 11 - Re-assignmentCentral Depository System Forms
31 Dec 2015 Form 10 - Sub-ChargeCentral Depository System Forms
31 Dec 2015 Form 9 - ChargeCentral Depository System Forms
31 Dec 2015 Form 8 - AssignmentCentral Depository System Forms
31 Dec 2015 Form 7 - Notification of Transmission of Title by Court Order Sub-AccCentral Depository System Forms
31 Dec 2015 Form 6 - Notification of Transmission of Title by Court OrderCentral Depository System Forms
31 Dec 2015 Form 5 - Notification of Bankruptcy of Sub-Account HolderCentral Depository System Forms
31 Dec 2015 Securities and Futures (Central Depository System) Regulations 2015Regulations
31 Dec 2015 Guidelines to MAS Notice SFA03AA-N01 on Prevention of Money Laundering and Countering the Financing of TerrorismGuidelines
31 Dec 2015 Notice to the Depository on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA03AA-N01]Directions - Notices
31 Dec 2015 Form 4 - Notification of Bankruptcy of Account HolderCentral Depository System Forms
31 Dec 2015 Form 3 - Notification of Death or Dissolution of Joint Account HolderCentral Depository System Forms
31 Dec 2015 Form 2 - Notification of Death or Dissolution of Sub-Account HolderCentral Depository System Forms
31 Dec 2015 Form 1 - Notification of Death or Dissolution of Account HolderCentral Depository System Forms
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

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Last Modified on 26/11/2016