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
23 Feb 2018 Form 23A - Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund ManagerForms
06 Feb 2018 Exemptions issued under s337(2) SFA - 4Q2017Exemptions
22 Jan 2018 Form 25A- Annual Declaration by a Registered Fund Management Company or a Venture Capital Fund ManagerForms
19 Jan 2018 Form 1V - Application for a capital markets services licence as a venture capital fund managerForms
16 Jan 2018 Lodgment Practice Note for Collective Investment SchemesPractice Notes
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
01 Jan 2018 Code on Collective Investment SchemesCodes
27 Nov 2017 FAQs on the Licensing and Registration of Fund Management CompaniesFAQs
27 Nov 2017 Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [Guideline No. SFA 04-G05]Guidelines
24 Nov 2017 FAQs on Securities and Futures (Licensing and Conduct of Business) RegulationsFAQs
14 Nov 2017 A Guide to Digital Token OfferingsGuidelines
03 Nov 2017 Exemptions issued under s337(2) SFA - 3Q2017Exemptions
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

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Last Modified on 26/11/2016