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
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesApproved Holding Companies Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsApproved Holding Companies Forms
01 Aug 2013 Form 1 - Application for Approval as an Approved Holding CompanyApproved Holding Companies Forms
01 Aug 2013 Form 6 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonClearing Facilities Forms
01 Aug 2013 Form 5 - Application to Impose or Change Clearing FeeClearing Facilities Forms
01 Aug 2013 Form 4 - Application for Change in StatusClearing Facilities Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesClearing Facilities Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsClearing Facilities Forms
01 Aug 2013 Form 1 - Application for Approval or RecognitionClearing Facilities Forms
01 Aug 2013 SECURITIES AND FUTURES (CORPORATE GOVERNANCE OF APPROVED EXCHANGES DESIGNATED CLEARING HOUSES AND APPROVED HOLDING COMPANIES) REGULATIONS 2005Regulations
01 Aug 2013 Securities and Futures (Clearing Facilities) (Exemption) Regulations 2013Regulations
01 Aug 2013 Securities and Futures (Clearing Facilities) Regulations 2013Regulations
01 Aug 2013 Form 1 - Application for Trade Repository Licence or Foreign Trade Repository LicenceTrade Repositories Forms
01 Aug 2013 Form 2 - Information on Chief Executive Officer and DirectorsTrade Repositories Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesTrade Repositories Forms
01 Aug 2013 Form 4 - Application to Impose or Change Reporting FeeTrade Repositories Forms
01 Aug 2013 Form 5 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonTrade Repositories Forms
07 Aug 2013 Securities and Futures Amendment Act 2012 Commencement (No.2) Notification 2013Notifications
20 Aug 2013 SRD TR 02/2013 MAS Circular (Cancellation) 2013Circulars
03 Oct 2013 Exemptions issued under s337(2) SFA - 2Q2013Exemptions
22 Oct 2013 FAQs on the Memorandum of Understanding under the EU's Alternative Investment Fund Managers DirectiveFAQs
30 Oct 2013 Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013Regulations
30 Oct 2013 Securities and Futures (Amendment) Act 2012 Commencement (No. 3) Notification 2013Notifications
30 Oct 2013 Form 1A - Notification on Becoming a Significant Derivatives HolderReporting of Derivatives Contracts Forms
30 Oct 2013 Form 1B - Notification on Ceasing to be a Significant Derivatives HolderReporting of Derivatives Contracts Forms
31 Oct 2013 Securities and Futures (Trade Repositories) Regulations 2013Regulations
13 Jan 2014 Form 1 - General Lodgment Form (Offers of Business Trusts)Offers of Business Trusts
13 Jan 2014 Form 1 - General Lodgment Form (Offers of Shares and Debentures)Offers of Shares and Debentures
06 Mar 2014 Guidelines on the Application of Section 339 (Extra-Territoriality) of the Securities and Futures Act [Guideline No. SFA 15-G01]Guidelines
06 Mar 2014 Notice on Technology Risk Management [Notice No. CMG-N02]Directions - Notices
06 Mar 2014 Notice on Reporting of Suspicious Activities & Incidents of Fraud [Notice No. CMG-N01]Directions - Notices
06 Mar 2014 Guidelines on Short Selling Disclosure [Guideline No SFA 15-G02]Guidelines
07 Mar 2014 Exemptions issued under s337(2) SFA - 3Q2013Exemptions
28 Mar 2014 Securities and Futures (Licensing and Conduct of Business) RegulationsRegulations
15 May 2014 Exemptions issued under s337(2) SFA - 4Q2013Exemptions
26 May 2014 SRD TR 01/2014 System Vulnerability Assessments and Penetration TestingCirculars
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
22 Jul 2014 Exemptions issued under s337(2) SFA - 1Q2014Exemptions
05 Sep 2014 Exemptions issued under s337(2) SFA - 2Q2014Exemptions
26 Sep 2014 Securities and Futures (Offers of Investments) (Exemption for PruPerformance Share Scheme) Regulations 2014 (G.N. No. S 623/2014)Regulations
26 Sep 2014 SRD TR 02/2014 IT Security Risks Posed by Personal Mobile DevicesCirculars
15 Oct 2014 FAQs on Disclosure of InterestsFAQs
24 Oct 2014 Form 3A - Notification for the Appointment of an Appointed Representative (Licensed Fund Management Companies)Forms
24 Oct 2014 Exemptions issued under s337(2) SFA - 3Q2014Exemptions
31 Oct 2014 Securities and Futures (Reporting of Derivatives Contracts) (Amendment) (No. 2) Regulations 2014Regulations
02 Jan 2015 Securities and Futures (Offers of Investments) (Business Trusts) (No. 2) Regulations 2005 (G.N. No. S 612/2005)Regulations
02 Jan 2015 Securities and Futures (Offers of Investments) (Shares and Debentures) Regulations 2005 (G.N. No. S 611/2005)Regulations
02 Jan 2015 Securities and Futures (Offers of Investments) (Collective Investment Schemes) Regulations 2005 (G.N. No. S 602/2005)Regulations
05 Feb 2015 Guidelines on the Product Highlights Sheet for Offers of Debt Securities, Hybrid Instruments and Equity Securities [Guideline No. SFA 13-G13]Guidelines
18 Mar 2015 Exemptions issued under s337(2) SFA - 4Q2014Exemptions
29 Apr 2015 Exemptions issued under s337(2) SFA - 1Q2015Exemptions
01 Jul 2015 Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) RegulationsRegulations
07 Jul 2015 Guidelines on Good Drafting Practices for Prospectuses [Guideline No. SFA 13-G14]Guidelines
21 Jul 2015 Exemptions issued under s337(2) SFA -  2Q2015Exemptions
23 Jul 2015 Securities and Futures (Prescribed Futures Contracts) (Amendment) Regulations 2015Regulations
03 Sep 2015 Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01]Guidelines
16 Sep 2015 Form 1A - Application for a Capital Markets Services Licence for Fund Management Company Forms
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
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 04/2015 Circular to Corporate Finance Firms on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business ConductCirculars
02 Nov 2015 Securities and Futures (Reporting of Derivatives Contracts) (Amendment) Regulations 2015Regulations
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
18 Dec 2015 Exemptions issued under s337(2) SFA - 3Q2015Exemptions
31 Dec 2015 Form 1 - Notification of Death or Dissolution of 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 3 - Notification of Death or Dissolution of Joint Account HolderCentral Depository System Forms
31 Dec 2015 Form 4 - Notification of Bankruptcy of Account HolderCentral Depository System Forms
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 Securities and Futures (Central Depository System) Regulations 2015Regulations
31 Dec 2015 Form 5 - Notification of Bankruptcy of Sub-Account HolderCentral Depository System Forms
31 Dec 2015 Form 6 - Notification of Transmission of Title by Court OrderCentral 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 8 - AssignmentCentral Depository System Forms
31 Dec 2015 Form 9 - ChargeCentral Depository System Forms
31 Dec 2015 Form 10 - Sub-ChargeCentral Depository System Forms
31 Dec 2015 Form 11 - Re-assignmentCentral Depository System Forms
31 Dec 2015 Form 12 - Discharge of ChargeCentral Depository System Forms
31 Dec 2015 Form 13 - Discharge of Sub-ChargeCentral Depository System Forms
31 Dec 2015 Form 14 - Approval for Change in Depository FeeCentral Depository System Forms
01 Jan 2016 Code on Collective Investment SchemesCodes
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
28 Jan 2016 Securities and Futures (Reporting of Derivatives Contracts) (Amendment) Regulations 2016Regulations
03 Feb 2016 Exemptions issued under s337(2) SFA - 4Q2015Exemptions
19 May 2016 Securities and Futures (Offers of Investments) (Exemption for Offers of Straight Debentures) Regulations 2016Regulations
19 May 2016 Securities and Futures (Offers of Investments) (Exemption for Offers of Post-seasoning Debentures) Regulations 2016Regulations
26 May 2016 Exemptions issued under s337(2) SFA - 1Q2016Exemptions
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
16 Jun 2016 Notice on Financial Market Infrastructure Standards for CSDs [Notice No. SFA03AA-N02]Directions - Notices
16 Jun 2016 Notice on Financial Market Infrastructure Standards [Notice No. SFA02A/03-N01]Directions - Notices

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Last Modified on 26/11/2016