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
06 Sep 2007 Form 1 - Application for approval as an approved exchange or recognition as a recognised market operatorMarkets Forms
01 Aug 2013 Form 1 - Application for Approval as an Approved Holding CompanyApproved Holding Companies Forms
01 Aug 2013 Form 1 - Application for Approval or RecognitionClearing Facilities Forms
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
01 Aug 2013 Form 1 - Application for Trade Repository Licence or Foreign Trade Repository LicenceTrade Repositories Forms
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
20 Dec 2006 Form 1 - Statement of assets and liabilitiesForms
31 Dec 2015 Form 1 - Notification of Death or Dissolution of Account HolderCentral Depository System 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
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
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
09 Jun 2005 Form 10 -Statement of exposure to margin customersForms
31 Dec 2015 Form 10 - Sub-ChargeCentral Depository System 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

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Last Modified on 26/11/2016