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
07 May 2013 Form 25B - Auditor's Report for a Registered Fund Management CompanyForms
26 Nov 2010 Form 26 - Notice of Commencement of Business/ Additional Regulation Activity(s) by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 27 - Notice of Change of Particulars by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 28 - Declaration by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)Forms
26 Nov 2010 Form 29 - Notice of Cessation of Business / any Regulated Activity(s) by a Persons Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)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 Jul 2005 Form 3 - Information on shareholders and subsidiariesMarkets Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesApproved Holding Companies Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesTrade Repositories Forms
01 Aug 2013 Form 3 - Information on Shareholders and SubsidiariesClearing Facilities Forms
31 Dec 2015 Form 3 - Notification of Death or Dissolution of Joint Account HolderCentral Depository System Forms
09 Jun 2005 Form 3 - Statement of assets and liabilities, and adjusted net capitalForms
17 Jan 2012 Form 3A - Notification for Appointment of an Appointed Representative (Hardcopy Format)Forms
24 Oct 2014 Form 3A - Notification for the Appointment of an Appointed Representative (Licensed Fund Management Companies)Forms
27 Nov 2010 Form 3B - Notification for Appointment of a Provisional Representative (Hardcopy Format)Forms
17 Jan 2012 Form 3C - Notification for Appointment of a Temporary Representative (Hardcopy Format)Forms
27 Nov 2010 Form 3D - Notification of the Completion of Examination Requirements by a Provisional Rep (Hardcopy Format)Forms
01 Aug 2013 Form 4 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonApproved Holding Companies Forms
01 Aug 2013 Form 4 - Application for Change in StatusClearing Facilities Forms
06 Sep 2007 Form 4 - Application for exemption from the requirement to be an approved exchange or a recognised market operatorMarkets Forms
01 Aug 2013 Form 4 - Application to Impose or Change Reporting FeeTrade Repositories Forms
31 Dec 2015 Form 4 - Notification of Bankruptcy of Account HolderCentral Depository System Forms
09 Jun 2005 Form 4 - Statement of assets and liabilities, adjustend net capital, and segregation requirement and location of segregated fundsForms
17 Jan 2012 Form 5 - Application for Additional Regulated Activity under a Capital Markets Services LicenceForms
01 Aug 2013 Form 5 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonTrade Repositories Forms
01 Jul 2005 Form 5 - Application for change in statusMarkets Forms
01 Aug 2013 Form 5 - Application to Impose or Change Clearing FeeClearing Facilities Forms
31 Dec 2015 Form 5 - Notification of Bankruptcy of Sub-Account HolderCentral Depository System Forms
20 Dec 2006 Form 5 - Statement of financial resources and total risk requirementForms
01 Aug 2013 Form 6 - Application for Approval of Chairman, Chief Executive Officer, Director or Key PersonClearing Facilities Forms
15 Oct 2005 Form 6 - General Lodgment Form (Offers of Collective Investment Scheme)Collective Investment Schemes
01 Jul 2005 Form 6 - Monthly statistics to be submitted by an approved exchange operating a securities marketMarkets Forms
31 Dec 2015 Form 6 - Notification of Transmission of Title by Court OrderCentral Depository System Forms
17 Jan 2012 Form 6 - Notification to Add Activity(ies) of a Representative (Hardcopy Format)Forms
20 Dec 2006 Form 6 - Statement relating to the accounts of a holder of a capital markets services licenceForms
16 Feb 2006 Form 7 - Auditors report - for a holder of a capital markets services licenceForms
17 Jan 2012 Form 7 - Notice of Cessation of BusinessForms
09 Mar 2010 Form 7 - Notice to Dissenting Participant Under Section 295A(1)Collective Investment Schemes
31 Dec 2015 Form 7 - Notification of Transmission of Title by Court Order Sub-AccCentral Depository System Forms
01 Jul 2005 Form 7 - Quarterly statistics to be submitted by an approved exchange operating a securities marketMarkets Forms
31 Dec 2015 Form 8 - AssignmentCentral Depository System Forms
09 Jun 2005 Form 8 - Auditors Certification - for a holder of a capital markets services licenceForms
01 Jul 2005 Form 8 - Monthly statistics to be submitted by an approved exchange operating a futures marketMarkets Forms
09 Mar 2010 Form 8 - Notice to Non-Assenting Participant Under Section 295A(4)Collective Investment Schemes
17 Jan 2012 Form 8 - Notification for the Cessation of a Representative in any or all of the Regulated Activities (Hardcopy Format)Forms
30 Dec 2009 Form 9 - Application for appointment of chairman, chief executive officer director, or key personsMarkets Forms
31 Dec 2015 Form 9 - ChargeCentral Depository System Forms
09 Jun 2005 Form 9 - Statement of aggregate margin exposure to single securities exchangeForms
27 Aug 2007 Form for transfer to a Capital Markets Services LicenceCommodity Trading Act
27 Aug 2007 Form for transfer to a Capital Markets Services Representative's LicenceCommodity Trading Act
06 Sep 2011 Guidelines for Financial Institutions to Safeguard the Integrity of Singapore's Financial SystemGuidelines
02 Apr 2013 Guidelines on Addressing Conflicts of Interest arising from a Related Corporation Issuing or Promulgating Research Analyses or Research Reports [SFA 04-G06] Guidelines
13 May 2011 Guidelines on Applications for Approval of Arrangements under Paragraph 9 of the Third Schedule to the Securities and Futures Act [Guideline No. SFA04-G03]Guidelines
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
15 Oct 2005 Guidelines on Disclosure of Financial Information in ProspectusesGuidelines
15 Oct 2005 Guidelines on Disclosure of Financial Information in ProspectusesGuidelines
19 Mar 2007 Guidelines on Duty of Substantial Shareholders to Notify Securities Exchange [Cancelled with effect from 19 Nov 2012]Guidelines
03 Sep 2015 Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01]Guidelines
07 Jul 2015 Guidelines on Good Drafting Practices for Prospectuses [Guideline No. SFA 13-G14]Guidelines
01 Nov 2016 Guidelines on Licence Applications, Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
20 Oct 2017 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines
06 Dec 2016 Guidelines on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsGuidelines
21 Oct 2010 Guidelines on Ongoing Disclosure Requirements for Unlisted Debentures [Guideline No. SFA 13-G11]Guidelines
15 Oct 2005 Guidelines on Personal Offers made pursuant to the Exemption for Small OffersGuidelines
08 Jun 2016 Guidelines on Personal Offers made pursuant to the Exemption for Small OffersGuidelines
06 Mar 2014 Guidelines on Short Selling Disclosure [Guideline No SFA 15-G02]Guidelines
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
08 Jun 2016 Guidelines on the Advertising Restrictions [Guideline No. SFA 13-G15]Guidelines
15 Oct 2005 Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private PlacementGuidelines
15 Oct 2005 Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private PlacementGuidelines
06 Mar 2014 Guidelines on the Application of Section 339 (Extra-Territoriality) of the Securities and Futures Act [Guideline No. SFA 15-G01]Guidelines
28 Mar 2008 Guidelines on the Calculation of Counterparty Risk Requirement for Specified Structured Warrants under Paragraph 3(2) of the Third Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N02] Guidelines
19 Apr 2011 Guidelines on the Cancellation Period of Unlisted Debentures [Guideline No. SFA 13-G12]Guidelines
15 Sep 2006 Guidelines on the Permissible Use of Customers' Money and Assets by Designated Clearing Houses under Section 63 of the Securities and Futures Act (Cap.289) [Guideline No. SFA 03-G02] [Cancelled with effect from 26 Oct 16]Guidelines
21 Oct 2010 Guidelines on the Product Highlights Sheet [Guideline No. SFA 13-G10]Guidelines
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
15 Oct 2005 Guidelines on the Register of Participants and Sending Accounts and Reports to ParticipantsGuidelines
10 Oct 2016 Guidelines on the Regulation of Clearing Facilities [Guideline No. SFA 03-G01]Guidelines
01 Jul 2005 Guidelines on the Regulation of Markets [Guideline No. SFA 02-G01]Guidelines
07 Dec 2007 Guidelines on the Specification of Entities under Sub-paragraph (b)(vi) of the Definition of "Qualifying Deposit" in Paragraph 1(4) of the Second Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N01]Guidelines
01 Jan 2016 Guidelines to all holders of a Capital Markets Services Licence for Real Estate Investment Trust ManagementGuidelines
31 Dec 2015 Guidelines to MAS Notice SFA03AA-N01 on Prevention of Money Laundering and Countering the Financing of TerrorismGuidelines
30 Nov 2015 Guidelines to MAS Notice SFA04-N02 on Prevention of Money Laundering and Countering the Financing of Terrorism - Capital Markets IntermediariesGuidelines
29 Dec 2006 Guidelines to MAS Notice SFA13-N01Directions - Notices
30 Nov 2015 Guidelines to MAS Notice SFA13-N01 on Prevention of Money Laundering and Countering the Financing of Terrorism - Approved TrusteesGuidelines
25 Jun 2002 Internet GuidelinesGuidelines
03 Feb 2017 Lodgment Practice Note for Business TrustsPractice Notes
03 Feb 2017 Lodgment Practice Note for Collective Investment SchemesPractice Notes
03 Feb 2017 Lodgment Practice Note for Shares and DebenturesPractice Notes
28 Feb 2007 MAS Notice SFA04-N02 (Amendment) 2007Directions - Notices
02 Jul 2007 MAS Notice SFA04-N02 (Cancellation) 2007Directions - Notices
28 Feb 2007 MAS Notice SFA13-N01 (Amendment) 2007Directions - Notices
02 Jul 2007 MAS Notice SFA13-N01 (Cancellation) 2007Directions - Notices
22 Jun 2009 Monetary Authority of Singapore (Freezing of Assets of Persons - Democratic People's Republic of Korea) Regulation 2009Circulars
13 Jun 2017 MPI 01/2017 Revision of Annual Fees for AE and ACHCirculars
06 Dec 2016 MPI 02/2016 Circular on Margin Requirements for Non-Centrally Cleared OTC Derivatives ContractsCirculars
13 Jun 2017 MPI 02/2017 Revision of Annual Fees for Local RMO under 2nd Schedule of SF Markets RCirculars
26 Nov 2010 Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the RegulationsForms
15 Sep 2009 Notice on Annual Declaration for Notifications of Restricted Schemes [Notice No. SFA 13-N02]Directions - Notices
26 Jun 2003 Notice on Cancellation Period for Collective Investment Schemes Constituted as Unit Trusts [Notice No. SFA 04/13-N01]Directions - Notices

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Last Modified on 26/11/2016