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
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
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
03 Feb 2017 Lodgment Practice Note for Shares and DebenturesPractice 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 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
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
16 Jan 2018 Lodgment Practice Note for Collective Investment SchemesPractice Notes
22 Jan 2018 Form 25A- Annual Declaration by a Registered Fund Management Company or a Venture Capital Fund ManagerForms
06 Feb 2018 Exemptions issued under s337(2) SFA - 4Q2017Exemptions
15 Mar 2018 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
21 May 2018 FAQs on Lodgement of Financial ReturnsFAQs
23 May 2018 FAQs on Classification of Capital Markets ProductsFAQs
28 May 2018 Securities and Futures (Short Selling) Regulations 2018Regulations
28 May 2018 Guidelines on the Regulation of Short Selling [SFA 07A-G01]Guidelines
28 May 2018 Securities and Futures Amendment Act 2017 Commencement Notification 2018Notifications
07 Jun 2018 Exemptions issued under s337(2) SFA 1Q2018Exemptions
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
08 Jun 2018 Securities and Futures (Offers of Investments) (Shares and Debentures) (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) (Collective Investment Schemes) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Licensing and Conduct of Business) (Amendment) Regulations 2018Regulations
08 Jun 2018 Securities and Futures (Capital Markets Products) Regulations 2018Regulations
08 Jun 2018 Financial Advisers (Amendment) Regulations 2018Regulations
08 Jun 2018 Financial Advisers (Amendment No. 2) Regulations 2018Regulations
12 Jun 2018 FAQs on Product DefinitionsFAQs
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
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
06 Jul 2018 Notice on the Sale of Investment Products [Notice No. SFA 04-N12]Directions - Notices
25 Jul 2018 Form 23A - Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund ManagerForms
13 Aug 2018 Acceptance of Offer of Composition Made by the Monetary Authority of SingaporeForms
13 Aug 2018 Securities and Futures (Composition of Offences) (Amendments) Regulations 2018Regulations
16 Aug 2018 Code on Collective Investment SchemesCodes
16 Aug 2018 Exemptions issued under s337(2) SFA 2Q2018Exemptions
16 Aug 2018 Guidelines on Liquidity Risk Management Practices for Fund Management Companies [SFA04-G08]Guidelines
23 Aug 2018 CMI 27/2018 Controls and Disclosures to be Implemented by Licensed Securities-Based Crowdfunding OperatorsCirculars
30 Aug 2018 System Training Video for Financial Institutions on the Use of the Corporations and Representatives System (CoRe) for the Submission of Representative Notifications to MASFAQs
17 Sep 2018 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
17 Sep 2018 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines

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Last Modified on 26/11/2016