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
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
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 Jul 2005 Form 11 - Notice of disallowance of claim against fidelity fund of an approved exchange under section 189(4) of the Securities and Futures Act (Cap. 289)Markets Forms
31 Dec 2015 Form 11 - Re-assignmentCentral Depository System Forms
09 Jun 2005 Form 11 - Statement of exposure to margined single securityForms
31 Dec 2015 Form 12 - Discharge of ChargeCentral Depository System Forms
31 Dec 2015 Form 13 - Discharge of Sub-ChargeCentral Depository System Forms
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
31 Dec 2015 Form 14 - Approval for Change in Depository FeeCentral Depository System Forms

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Last Modified on 26/11/2016