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
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
27 Jul 2016 SRD TR 01/2016 - MAS Circular (Cancellation) 2016Circulars
05 Aug 2016 FAQs on Offers of Shares, Debentures and CISFAQs
08 Aug 2016 Securities and Futures (Prescribed Futures Contracts) (Amendment) Regulations 2016Regulations
08 Aug 2016 Securities and Futures (Markets) (Amendment) Regulations 2016Regulations
11 Aug 2016 Exemptions issued under s337(2) SFA - 2Q2016Exemptions
18 Aug 2016 Securities and Futures (Amendment) Act 2012 (Commencement) Notification 2016Notifications
22 Aug 2016 Circular on Margin Requirements for Non-Centrally Cleared DerivativesCirculars
30 Aug 2016 Securities and Futures (Offers of Investments) (Shares) (Exemption for Units of Shares) Regulations 2016Regulations
10 Oct 2016 FAQs on the Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013FAQs
10 Oct 2016 Guidelines on the Regulation of Clearing Facilities [Guideline No. SFA 03-G01]Guidelines
18 Oct 2016 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
01 Nov 2016 Form 3 - Application for Approval to Act as a Trustee for Collective Investment Schemes under Section 289(1)Collective Investment Schemes
01 Nov 2016 Guidelines on Licence Applications, Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
01 Nov 2016 Securities and Futures (Licensing and Conduct of Business)(Amendment) Regulations 2016Regulations
01 Nov 2016 Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2016Regulations
18 Nov 2016 Exemptions issued under s337(2) SFA - 3Q2016Exemptions
06 Dec 2016 Guidelines on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsGuidelines
06 Dec 2016 MPI 02/2016 Circular on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsCirculars
14 Dec 2016 FAQs on Two-Factor Authentication for Online Trading PlatformsFAQs
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
11 Jan 2017 Form 23A - Notice of Change of Particulars for Registered Fund Management Company Forms
03 Feb 2017 Lodgment Practice Note for Shares and DebenturesPractice Notes
03 Feb 2017 Lodgment Practice Note for Collective Investment SchemesPractice Notes
03 Feb 2017 Lodgment Practice Note for Business TrustsPractice Notes
20 Mar 2017 Exemptions issued under s337(2) SFA - 4Q2016Exemptions
24 Apr 2017 Exemptions issued under s337(2) SFA - 1Q2017Exemptions
13 Jun 2017 MPI 01/2017 Revision of Annual Fees for AE and ACHCirculars
13 Jun 2017 MPI 02/2017 Revision of Annual Fees for Local RMO under 2nd Schedule of SF Markets RCirculars
11 Jul 2017 Exemptions issued under s337(2) SFA - 2Q2017Exemptions
20 Oct 2017 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
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
03 Nov 2017 Exemptions issued under s337(2) SFA - 3Q2017Exemptions
14 Nov 2017 A Guide to Digital Token OfferingsGuidelines
24 Nov 2017 FAQs on Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
27 Nov 2017 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
27 Nov 2017 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines
11 Dec 2017 Form 25A- Annual Declaration by a Registered Fund Management Company or a Venture Capital Fund ManagerForms

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Last Modified on 26/11/2016