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
25 Jul 2008 Securities and Futures Act (Amendment of the Second Schedule and Other Provisions to Act for REIT Management) Order 2008Orders
28 Jul 2008 Survey and Thematic Inspection of Hedge Fund ManagersCirculars
13 Aug 2008 FAQs on Licensing Requirements under Securities and Futures ActFAQs
09 Jan 2009 REITS: Treatment of Refinancing Under The Aggregate Leverage LimitCirculars
20 Feb 2009 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN PREFERENCE SHARES) REGULATIONS 2009Regulations
20 Apr 2009 Securities and Futures (Amendment) Act (Commencement) Notification 2009Notifications
20 Apr 2009 Securities and Futures (Offers of Investments) (Disapplication of Division 2 of Part XIII) Order 2009 (G.N. No. S 161/2009)Orders
22 May 2009 Trustee's Responsibility for Safe Custody of Assets of a Collective Investment SchemeCirculars
12 Jun 2009 FAQs on the ASEAN and Plus Standards SchemeFAQs
22 Jun 2009 Monetary Authority of Singapore (Freezing of Assets of Persons - Democratic People's Republic of Korea) Regulation 2009Circulars
29 Jul 2009 Securities and Futures (Amendment) Act (Commencement) (No.2) Notification 2009Notifications
15 Sep 2009 Notice on Annual Declaration for Notifications of Restricted Schemes [Notice No. SFA 13-N02]Directions - Notices
28 Sep 2009 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (COLLECTIVE INVESTMENT SCHEMES) (EXEMPTION FROM PROSPECTUS REQUIREMENTS) REGULATIONS 2009 (G.N. No. S 441/2009)Regulations
01 Oct 2009 CISNet User GuidePractice Notes
30 Dec 2009 Form 9 - Application for appointment of chairman, chief executive officer director, or key personsMarkets Forms
09 Mar 2010 Form 8 - Notice to Non-Assenting Participant Under Section 295A(4)Collective Investment Schemes
09 Mar 2010 Form 7 - Notice to Dissenting Participant Under Section 295A(1)Collective Investment Schemes
26 Mar 2010 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2010Notifications
29 Mar 2010 Securities and Futures (Amendment) Act (Commencement) Notification 2010Notifications
29 Mar 2010 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (PRESCRIBED PERIOD AND PRESCRIBED DAY FOR REGISTRATION OF PROSPECTUS AND PROFILE STATEMENT) REGULATIONS 2010Regulations
01 Jun 2010 Securities and Futures (Recognised Securities Exchange) Order 2005 (G.N. No. S 609/2005)Orders
02 Aug 2010 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTIONS) REGULATIONS 2006Regulations
11 Aug 2010 Securities and Futures Investor Compensation Scheme Order 2010Orders
07 Sep 2010 Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) RegulationsRegulations
21 Oct 2010 CMD 01/2010 Issue of Guidelines on the Product Highlights Sheet (SFA 13-G10) and Guidelines on Ongoing Disclosure Requirements for Unlisted Debentures (SFA 13-G11)Circulars
21 Oct 2010 Guidelines on the Product Highlights Sheet [Guideline No. SFA 13-G10]Guidelines
21 Oct 2010 Guidelines on Ongoing Disclosure Requirements for Unlisted Debentures [Guideline No. SFA 13-G11]Guidelines
26 Nov 2010 Form 29 - Notice of Cessation of Business / any Regulated Activity(s) by a Persons Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 28 - Declaration by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 27 - Notice of Change of Particulars by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 26 - Notice of Commencement of Business/ Additional Regulation Activity(s) by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 23- Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance Forms
26 Nov 2010 Form 15A - Register of Interests in Extended Settlement ContractsForms
26 Nov 2010 Form 13 - Risk Disclosure Statement Required to be Furnished and Kept by the Holder of a Capital Markets Services Licence to Trade in Futures Contracts or Leveraged Foreign Exchange ContractsForms
26 Nov 2010 Notice on Reporting of Misconduct of Representatives by Holders of Capital Markets Services Licence and Exempt Financial Institutions [Notice No. SFA 04-N11]Directions - Notices
26 Nov 2010 Notice on Entry Requirements of a Provisional or Temporary Representative [Notice No. SFA 04-N10]Directions - Notices
26 Nov 2010 Securities and Futures (Amendment) Act (Commencement) (No. 2) Notification 2010Notifications
26 Nov 2010 Securities and Futures (Representatives) (Transitional and Savings Provisions) Regulations 2010Regulations
26 Nov 2010 Securities and Futures (Exemption from Section 99B) Regulations 2010Regulations
26 Nov 2010 Notice to Persons Exempted Under Reg 2(2) of the Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations (Rg 11) from the Requirement under Section 82(1) of the Securities and Futures Act (Cap. 289) to Hold a Capital Markets Services Licence for the Regulated Activity of Trading in Futures Contracts and Representatives of Such Persons [Notice No. SFA 04-N08]Directions - Notices
26 Nov 2010 FAQ on Mutual Recognition of MAS and Thai SEC Product Knowledge ExaminationsFAQs
26 Nov 2010 Form 14 Risk Disclosure Statement Required to be Furnished under Regulation 47E(2) and to be kept under Regulation 39(2)(d) by the holder of a Capital Markets Services Licence for Fund Management relating to Management of Portfolio of Futures Contracts, and Foreign ExchangeForms
26 Nov 2010 Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
26 Nov 2010 Form 20 - Notice of Cessation of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
26 Nov 2010 Form 21 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
26 Nov 2010 Form 23 - Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance Forms
26 Nov 2010 Form 24 - Notice of Cessation of Business by Persons Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
26 Nov 2010 Form 25 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
27 Nov 2010 Form 3D - Notification of the Completion of Examination Requirements by a Provisional Rep (Hardcopy Format)Forms
27 Nov 2010 Form 3B - Notification for Appointment of a Provisional Representative (Hardcopy Format)Forms
27 Nov 2010 Form 16 - Notification to Change Particulars for a Representative (Hardcopy Format)Forms
07 Feb 2011 CMI 01/2011: Due Diligence Checks and Documentation in Respect of the Appointment of Appointed Provisional and Temporary RepresentativesCirculars
09 Feb 2011 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (SHARES AND DEBENTURES) (EXEMPTION FROM SUBDIVISIONS (2) AND (3) OF DIVISION 1 OF PART XIII FOR REIT BONDS) REGULATIONS 2011 (G.N. No. S 51/2011)Regulations
15 Mar 2011 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (COLLECTIVE INVESTMENT SCHEMES) (EXEMPTION FROM EXPERT'S CONSENT REQUIREMENT) REGULATIONS 2011 (G.N. No. S 149/2011)Regulations
19 Apr 2011 Guidelines on the Cancellation Period of Unlisted Debentures [Guideline No. SFA 13-G12]Guidelines
19 Apr 2011 Notice on the Cancellation Period of Unlisted Debentures [Notice No. SFA 04/13-N02]Directions - Notices
13 May 2011 Guidelines on Applications for Approval of Arrangements under Paragraph 9 of the Third Schedule to the Securities and Futures Act [Guideline No. SFA04-G03]Guidelines
06 Sep 2011 Guidelines for Financial Institutions to Safeguard the Integrity of Singapore's Financial SystemGuidelines
30 Sep 2011 Form 2 - Application for Recognition of a Collective Investment Scheme under Section 287(1) (Last updated on 30 Sep 2011)Collective Investment Schemes
30 Sep 2011 Form 1 - Application for Authorisation of a Collective Investment Scheme under Section 286(1) (Last updated on 30 Sep 2011)Collective Investment Schemes
17 Jan 2012 Code on Credit Rating AgenciesCodes
17 Jan 2012 Form 8 - Notification for the Cessation of a Representative in any or all of the Regulated Activities (Hardcopy Format)Forms
17 Jan 2012 Form 7 - Notice of Cessation of BusinessForms
17 Jan 2012 Form 6 - Notification to Add Activity(ies) of a Representative (Hardcopy Format)Forms
17 Jan 2012 Form 5 - Application for Additional Regulated Activity under a Capital Markets Services LicenceForms
17 Jan 2012 Form 3C - Notification for Appointment of a Temporary Representative (Hardcopy Format)Forms
17 Jan 2012 Form 3A - Notification for Appointment of an Appointed Representative (Hardcopy Format)Forms
17 Jan 2012 Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to ExecutiveForms
17 Jan 2012 Form 10 - Notice for Change of Principal Place of Business / Notice for Change of Place at which Register of Interests in Securities is KeptForms
17 Jan 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of ParticularsForms
17 Jan 2012 Securities And Futures Act (Amendment Of Second Schedule And Other Provisions For Provision Of Credit Rating Services) Order 2012Orders
17 Jan 2012 FAQs on Credit Rating AgenciesFAQs
02 May 2012 SECURITIES AND FUTURES (PRESCRIBED SECURITIES) REGULATIONS 2012 (G.N. No. S 177/2012)Regulations
02 May 2012 SECURITIES AND FUTURES (PRESCRIBED SECURITIES) (EXEMPTION) REGULATIONS 2012Regulations
06 Aug 2012 FAQs on Exempt PersonsFAQs
06 Aug 2012 FAQs on Prohibited Representations by Exempt Persons under the 2nd Schedule to the Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
06 Aug 2012 Notice on Prohibited Representations made by Exempt Persons under the 2nd Schedule to the Securities & Futures (Licensing & Conduct of Business) Regulations [Notice No. SFA 04-N07]Directions - Notices
06 Aug 2012 FAQs on Minimum Entry and Examination RequirementsFAQs
19 Sep 2012 Securities and Futures (Amendment) Act (Commencement) Notification 2012Notifications
23 Oct 2012 Form 1 - Application for a Capital Markets Services Licence and Notice of Particulars Forms
23 Oct 2012 Form 10 - Notice for Change of Principal Place of Business / Notice for Change of Place at which Register of Interests in Securities is KeptForms
23 Oct 2012 Form 15 - Register of Interests in Securities Forms
19 Nov 2012 Securities and Futures (Disclosure of Interests) Regulations 2012 (G.N. No. S 504/2012)Regulations
07 Dec 2012 SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (EXEMPTION FOR AIA AGENCY SHARE PURCHASE PLAN) REGULATIONS 2012 (G.N. No. S 602/2012)Regulations
11 Dec 2012 Notice on the Sale of Investment Products [Notice No. SFA 04-N12]Directions - Notices
11 Dec 2012 Practice Note on the Sale of Investment Products [SFA PN-01]Practice Notes
07 Jan 2013 Form 25A- Annual Declaration by a Registered Fund Management CompanyForms
07 Jan 2013 Form 24A - Notice of Cessation of Business as a Registered Fund Management Company Forms
07 Jan 2013 Form 22A - Notice of Commencement of Business as a Registered Fund Management Company Forms
18 Mar 2013 Securities and Futures (Amendment) Act 2012 (Commencement) Notification 2013Notifications
28 Mar 2013 Securities and Futures (Composition of Offences) RegulationsRegulations
28 Mar 2013 Securities and Futures (Markets) Regulations 2005Regulations
01 Apr 2013 Form 22 - Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the RegulationsForms
02 Apr 2013 Securities and Futures (Closed-End Fund) (Excluded Arrangements) Notification 2013 (G.N. No. S 185/2013)Notifications
02 Apr 2013 Guidelines on Addressing Conflicts of Interest arising from a Related Corporation Issuing or Promulgating Research Analyses or Research Reports [SFA 04-G06] Guidelines
07 May 2013 Form 25B - Auditor's Report for a Registered Fund Management CompanyForms
11 Jun 2013 FAQs on ExemptionsFAQs
11 Jun 2013 Exemptions issued under s337(2) SFA - 1Q2013Exemptions
18 Jul 2013 FAQs on Compliance with Principles For Financial Market InfrastructuresFAQs
25 Jul 2013 Securities and Futures (Clearing Facilities) (Savings and Transitional Provisions) Regulations 2013Regulations

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Last Modified on 26/11/2016