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
21 Dec 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 51) REGULATIONS 2004Regulations
23 Dec 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 53) REGULATIONS 2004Regulations
23 Dec 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 52) REGULATIONS 2004Regulations
23 Dec 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 26) REGULATIONS 2004Regulations
23 Dec 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 25) REGULATIONS 2004Regulations
06 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) REGULATIONS 2005Regulations
14 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) REGULATIONS 2005Regulations
20 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 3) REGULATIONS 2005Regulations
20 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 2) REGULATIONS 2005Regulations
20 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 2) REGULATIONS 2005Regulations
25 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 4) REGULATIONS 2005Regulations
26 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 20) REGULATIONS 2004Regulations
01 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 5) REGULATIONS 2005Regulations
01 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 23) REGULATIONS 2004Regulations
07 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 6) REGULATIONS 2005Regulations
08 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 7) REGULATIONS 2005Regulations
16 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 3) REGULATIONS 2005Regulations
18 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 8) REGULATIONS 2005Regulations
23 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 9) REGULATIONS 2005Regulations
23 Feb 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 4) REGULATIONS 2005Regulations
01 Mar 2005 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2005 - Cancelled on 1 Jul 2007Notifications
07 Mar 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 10) REGULATIONS 2005Regulations
17 Mar 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 12) REGULATIONS 2005Regulations
17 Mar 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 11) REGULATIONS 2005Regulations
23 Mar 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 14) REGULATIONS 2005Regulations
23 Mar 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 13) REGULATIONS 2005Regulations
18 Apr 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 5) REGULATIONS 2005Regulations
26 Apr 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 7) REGULATIONS 2005Regulations
26 Apr 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 6) REGULATIONS 2005Regulations
26 Apr 2005 SECURITIES AND FUTURES (ESOS FINANCING SCHEME) (EXEMPTION) REGULATIONS 2005Regulations
11 May 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 15) REGULATIONS 2005Regulations
11 May 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 8) REGULATIONS 2005Regulations
26 May 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 16) REGULATIONS 2005Regulations
02 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 9) REGULATIONS 2005Regulations
09 Jun 2005 Form 9 - Statement of aggregate margin exposure to single securities exchangeForms
09 Jun 2005 Form 8 - Auditors Certification - for a holder of a capital markets services licenceForms
09 Jun 2005 Form 4 - Statement of assets and liabilities, adjustend net capital, and segregation requirement and location of segregated fundsForms
09 Jun 2005 Form 3 - Statement of assets and liabilities, and adjusted net capitalForms
09 Jun 2005 Form 11 - Statement of exposure to margined single securityForms
09 Jun 2005 Form 10 -Statement of exposure to margin customersForms
09 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 17) REGULATIONS 2005Regulations
10 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 18) REGULATIONS 2005Regulations
21 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 19) REGULATIONS 2005Regulations
23 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 20) REGULATIONS 2005Regulations
24 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 22) REGULATIONS 2005Regulations
24 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 21) REGULATIONS 2005Regulations
29 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 10) REGULATIONS 2005Regulations
01 Jul 2005 Form 17 - Notice Calling for Claims against Deposit lodged with the AuthorityForms
01 Jul 2005 Form 8 - Monthly statistics to be submitted by an approved exchange operating a futures marketMarkets Forms
01 Jul 2005 Form 7 - Quarterly statistics to be submitted by an approved exchange operating a securities marketMarkets Forms
01 Jul 2005 Form 6 - Monthly statistics to be submitted by an approved exchange operating a securities marketMarkets Forms
01 Jul 2005 Form 5 - Application for change in statusMarkets Forms
01 Jul 2005 Form 3 - Information on shareholders and subsidiariesMarkets Forms
01 Jul 2005 Form 2 - Information on chief executive officer and directorsMarkets Forms
01 Jul 2005 Form 11 - Notice of disallowance of claim against fidelity fund of an approved exchange under section 189(4) of the Securities and Futures Act (Cap. 289)Markets 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
01 Jul 2005 Guidelines on the Regulation of Markets [Guideline No. SFA 02-G01]Guidelines
01 Jul 2005 Securities and Futures (Amendment) Act (Commencement) Notification 2005Notifications
01 Jul 2005 SECURITIES AND FUTURES (PRESCRIBED SPECIFIC CLASSES OF INVESTORS) REGULATIONS 2005Regulations
06 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 24) REGULATIONS 2005Regulations
06 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 23) REGULATIONS 2005Regulations
14 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 25) REGULATIONS 2005Regulations
15 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 27) REGULATIONS 2005Regulations
15 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 26) REGULATIONS 2005Regulations
15 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 11) REGULATIONS 2005Regulations
20 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 30) REGULATIONS 2005Regulations
20 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 29) REGULATIONS 2005Regulations
20 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 28) REGULATIONS 2005Regulations
22 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 12) REGULATIONS 2005Regulations
25 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 31) REGULATIONS 2005Regulations
26 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 13) REGULATIONS 2005Regulations
02 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 14) REGULATIONS 2005Regulations
03 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 32) REGULATIONS 2005Regulations
08 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 33) REGULATIONS 2005Regulations
08 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 16) REGULATIONS 2005Regulations
08 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 15) REGULATIONS 2005Regulations
17 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 17) REGULATIONS 2005Regulations
15 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 18) REGULATIONS 2005Regulations
16 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 19) REGULATIONS 2005Regulations
23 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 36) REGULATIONS 2005Regulations
23 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 35) REGULATIONS 2005Regulations
23 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 34) REGULATIONS 2005Regulations
30 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 20) REGULATIONS 2005Regulations
03 Oct 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 22) REGULATIONS 2005Regulations
03 Oct 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 21) REGULATIONS 2005Regulations
04 Oct 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 37) REGULATIONS 2005Regulations
06 Oct 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 38) REGULATIONS 2005Regulations
10 Oct 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 23) REGULATIONS 2005Regulations
12 Oct 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 24) REGULATIONS 2005Regulations
14 Oct 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN NOTES) (NO. 39) REGULATIONS 2005Regulations
15 Oct 2005 Form 6 - General Lodgment Form (Offers of Collective Investment Scheme)Collective Investment Schemes
15 Oct 2005 Guidelines on the Register of Participants and Sending Accounts and Reports to ParticipantsGuidelines
15 Oct 2005 Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private PlacementGuidelines
15 Oct 2005 Guidelines on Personal Offers made pursuant to the Exemption for Small OffersGuidelines
15 Oct 2005 Guidelines on Disclosure of Financial Information in ProspectusesGuidelines
15 Oct 2005 Guidelines on Disclosure of Financial Information in ProspectusesGuidelines
15 Oct 2005 Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private PlacementGuidelines
15 Oct 2005 Securities and Futures (Offers of Investments) (Exempt Purchasers) (Cancellation) Notification 2005Notifications
15 Oct 2005 Securities and Futures (Amendment) Act (Commencement) (No. 2) Notification 2005Notifications
15 Oct 2005 Securities and Futures (Prescribed Entities) Order 2005 (G.N. No. S 608/2005)Orders

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

Back to top

Last Modified on 26/11/2016