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
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
26 Nov 2010 Notice on Entry Requirements of a Provisional or Temporary Representative [Notice No. SFA 04-N10]Directions - Notices
16 Jun 2016 Notice on Financial Market Infrastructure Standards [Notice No. SFA02A/03-N01]Directions - Notices
16 Jun 2016 Notice on Financial Market Infrastructure Standards for CSDs [Notice No. SFA03AA-N02]Directions - Notices
28 May 2004 Notice on Lending of Singapore Dollar to Non-Resident Financial Institutions for Holders of Capital Markets Services Licence [Notice No. SFA 04-N04]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
06 Aug 2012 Notice on Prohibited Representations made by Exempt Persons under the 2nd Schedule to the Securities & Futures (Licensing & Conduct of Business) Regulations [Notice No. SFA 04-N07]Directions - Notices
26 Nov 2010 Notice on Reporting of Misconduct of Representatives by Holders of Capital Markets Services Licence and Exempt Financial Institutions [Notice No. SFA 04-N11]Directions - Notices
06 Mar 2014 Notice on Reporting of Suspicious Activities & Incidents of Fraud [Notice No. CMG-N01]Directions - Notices
20 Oct 2017 Notice on Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences [Notice No. SFA 04-N13]Directions - Notices
06 Mar 2014 Notice on Technology Risk Management [Notice No. CMG-N02]Directions - Notices
19 Apr 2011 Notice on the Cancellation Period of Unlisted Debentures [Notice No. SFA 04/13-N02]Directions - Notices
11 Dec 2012 Notice on the Sale of Investment Products [Notice No. SFA 04-N12]Directions - Notices
01 Jan 2016 Notice to all holders of a Capital Markets Services Licence for Real Estate Investment Trust Management [MAS Notice SFA04-N14]Directions - Notices
02 Jul 2007 Notice to Approved Trustees on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA13-N01]Directions - Notices
30 Nov 2015 Notice to Approved Trustees on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA13-N01]Directions - Notices
01 Jul 2014 Notice to Approved Trustees on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA13-N01] [July 2014]Directions - Notices
30 Nov 2015 Notice to Capital Markets Intermediaries on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA04-N02]Directions - Notices
30 Nov 2015 Notice to Capital Markets Intermediaries on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA04-N02]
26 Nov 2010 Notice to Persons Exempted Under Reg 2(2) of the Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations (Rg 11) from the Requirement under Section 82(1) of the Securities and Futures Act (Cap. 289) to Hold a Capital Markets Services Licence for the Regulated Activity of Trading in Futures Contracts and Representatives of Such Persons [Notice No. SFA 04-N08]Directions - Notices
31 Dec 2015 Notice to the Depository on Prevention of Money Laundering and Countering the Financing of Terrorism [MAS Notice SFA03AA-N01]Directions - Notices
11 Dec 2012 Practice Note on the Sale of Investment Products [SFA PN-01]Practice Notes
09 Jan 2009 REITS: Treatment of Refinancing Under The Aggregate Leverage LimitCirculars
15 Oct 2005 SECURITIES AND FUTURES (AFFAIRS OF BUSINESS TRUST AND AFFAIRS OF ENTITY) REGULATIONS 2005 (G.N. No. S 604/2005)Regulations
15 Oct 2005 Securities and Futures (Amendment) Act (Commencement) (No. 2) Notification 2005Notifications
26 Nov 2010 Securities and Futures (Amendment) Act (Commencement) (No. 2) Notification 2010Notifications
29 Jul 2009 Securities and Futures (Amendment) Act (Commencement) (No.2) Notification 2009Notifications
26 Nov 2003 Securities and Futures (Amendment) Act (Commencement) Notification 2003Notifications
01 Jul 2005 Securities and Futures (Amendment) Act (Commencement) Notification 2005Notifications
20 Apr 2009 Securities and Futures (Amendment) Act (Commencement) Notification 2009Notifications
29 Mar 2010 Securities and Futures (Amendment) Act (Commencement) Notification 2010Notifications
19 Sep 2012 Securities and Futures (Amendment) Act (Commencement) Notification 2012Notifications
18 Mar 2013 Securities and Futures (Amendment) Act 2012 (Commencement) Notification 2013Notifications
18 Aug 2016 Securities and Futures (Amendment) Act 2012 (Commencement) Notification 2016Notifications
30 Oct 2013 Securities and Futures (Amendment) Act 2012 Commencement (No. 3) Notification 2013Notifications
16 Jun 2003 Securities and Futures (Appeal Advisory Panel) Notification 2003Notifications
20 Jun 2003 Securities and Futures (Appeal Advisory Panel) Notification 2003Orders
11 Nov 2005 Securities and Futures (Appeal Advisory Panel) Notification 2005Notifications
11 Nov 2005 Securities and Futures (Appeal Advisory Panel) Notification 2005Orders
26 Apr 2006 Securities and Futures (Appeal Advisory Panel) Notification 2006Notifications
28 Sep 2007 Securities and Futures (Appeal Advisory Panel) Notification 2007Orders
20 Jun 2002 SECURITIES AND FUTURES (APPEALS UNDER PARTS II AND III OF ACT) REGULATIONSRegulations
09 Dec 2005 SECURITIES AND FUTURES (APPEALS) REGULATIONS 2005Regulations
26 Nov 2003 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2003 - Cancelled on 1 Mar 2005Notifications
01 Mar 2005 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2005 - Cancelled on 1 Jul 2007Notifications
01 Jul 2007 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2007Notifications
26 Mar 2010 Securities and Futures (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2010Notifications
01 Mar 2007 SECURITIES AND FUTURES (APPROVED HOLDING COMPANIES) REGULATIONS 2005Regulations
23 May 2002 Securities and Futures (Cancellation of Notification) Order 2002 Orders
29 Feb 2004 SECURITIES AND FUTURES (CAPITAL MARKETS SERVICES LICENCE AND REPRESENTATIVE'S LICENCE) (TRANSITIONAL AND SAVINGS PROVISIONS) REGULATIONSRegulations
31 Dec 2015 Securities and Futures (Central Depository System) Regulations 2015Regulations
01 Aug 2013 Securities and Futures (Clearing Facilities) (Exemption) Regulations 2013Regulations
25 Jul 2013 Securities and Futures (Clearing Facilities) (Savings and Transitional Provisions) Regulations 2013Regulations
01 Aug 2013 Securities and Futures (Clearing Facilities) Regulations 2013Regulations
13 Feb 2006 Securities and Futures (Clearing Facility) Order 2006Orders
02 Apr 2013 Securities and Futures (Closed-End Fund) (Excluded Arrangements) Notification 2013 (G.N. No. S 185/2013)Notifications
11 Sep 2002 Securities and Futures (Commencement) (No.2) Notification 2002Notifications
22 Dec 2001 Securities and Futures (Commencement) Notification 2001Notifications
28 Mar 2013 Securities and Futures (Composition of Offences) RegulationsRegulations
01 Aug 2013 SECURITIES AND FUTURES (CORPORATE GOVERNANCE OF APPROVED EXCHANGES DESIGNATED CLEARING HOUSES AND APPROVED HOLDING COMPANIES) REGULATIONS 2005Regulations
19 Nov 2012 Securities and Futures (Disclosure of Interests) Regulations 2012 (G.N. No. S 504/2012)Regulations
26 Apr 2005 SECURITIES AND FUTURES (ESOS FINANCING SCHEME) (EXEMPTION) REGULATIONS 2005Regulations
21 Dec 2004 SECURITIES AND FUTURES (EXEMPTION FROM FINANCIAL AND MARGIN REQUIREMENTS) REGULATIONS 2004Regulations
07 Sep 2010 Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) RegulationsRegulations
26 Nov 2010 Securities and Futures (Exemption from Section 99B) Regulations 2010Regulations
26 Nov 2003 SECURITIES AND FUTURES (EXEMPTION FROM SECURITIES HAWKING PROHIBITION) REGULATIONS (G.N. No. S 539/2003)Regulations
07 Oct 2004 SECURITIES AND FUTURES (EXEMPTION FROM SUBDIVISIONS (2) AND (3) OF DIVISION 1 OF PART XIII) REGULATIONS 2004 (G.N. No. S 619/2004)Regulations
09 Jul 2004 SECURITIES AND FUTURES (EXEMPTION OF PHILLIP FINANCIAL PTE LTD AND PHILLIP SECURITIES PTE LTD) REGULATIONS 2004Regulations
01 Nov 2016 Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2016Regulations
01 Jul 2015 Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) RegulationsRegulations
23 May 2002 Securities and Futures (Institutional, Professional and Business Investors) Order 2002 - Revoked on 15 Oct 2005Orders
15 Oct 2005 Securities and Futures (Institutional, Professional and Business Investors) Order 2005 (G.N. No. S 607/2005)Orders
28 Mar 2014 Securities and Futures (Licensing and Conduct of Business) RegulationsRegulations
01 Nov 2016 Securities and Futures (Licensing and Conduct of Business)(Amendment) Regulations 2016Regulations
09 Jun 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 10) REGULATIONS 2004Regulations
29 Jun 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 10) REGULATIONS 2005Regulations
16 Jun 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 11) REGULATIONS 2004Regulations
15 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 11) REGULATIONS 2005Regulations
09 Jul 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 12) REGULATIONS 2004Regulations
22 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 12) REGULATIONS 2005Regulations
05 Aug 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 13) REGULATIONS 2004Regulations
26 Jul 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 13) REGULATIONS 2005Regulations
01 Sep 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 14) REGULATIONS 2004Regulations
02 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 14) REGULATIONS 2005Regulations
11 Aug 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 15) REGULATIONS 2004Regulations
08 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 15) REGULATIONS 2005Regulations
10 Sep 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 16) REGULATIONS 2004Regulations
08 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 16) REGULATIONS 2005Regulations
10 Sep 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 17) REGULATIONS 2004Regulations
17 Aug 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 17) REGULATIONS 2005Regulations
15 Sep 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 18) REGULATIONS 2004Regulations
15 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 18) REGULATIONS 2005Regulations
08 Oct 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 19) REGULATIONS 2004Regulations
16 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 19) REGULATIONS 2005Regulations
04 Mar 2004 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 2) REGULATIONS 2004Regulations
20 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 2) REGULATIONS 2005Regulations
09 Jan 2006 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 2) REGULATIONS 2006Regulations
26 Jan 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 20) REGULATIONS 2004Regulations
30 Sep 2005 SECURITIES AND FUTURES (MARKET CONDUCT) (EXEMPTION FOR STABILISING ACTION IN RESPECT OF DEALINGS IN BONDS) (NO. 20) REGULATIONS 2005Regulations

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Last Modified on 26/11/2016