Securities and Futures (Financial and Margin Requirements)

All forms should be submitted via electronic means. Please refer to Notes below for the details.  

Provisions of the Securities and Futures Act (Cap 289) and the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations (Rg 13)

Description of forms

Form Number

Regulation 27(1)(a) and (9)(b)

Statement of Assets and Liabilities

1

(For CMSLs licensed before 8 October 2018 – submission of quarterly and annual returns for periods ending after 31 December 2018; and for new CMSLs licensed after 8 October 2018)

(PDF, 401KB)

 

1

(For CMSLs licensed before 8 October 2018 – submission of quarterly returns until the quarter ended 31 December 2018, and submission of annual returns until the financial year ended 31 December 2018)

(PDF, 411KB)

Regulation 27(1)(b) and (9)(b)

Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness

2

(For CMSLs licensed before 8 October 2018 – submission of quarterly and annual returns for periods ending after 31 December 2018; and for new CMSLs licensed after 8 October 2018)

(PDF, 368KB)

 

2

(For CMSLs licensed before 8 October 2018 – submission of quarterly returns until the quarter ended 31 December 2018, and submission of annual returns until the financial year ended 31 December 2018)

(PDF, 369KB)

Regulation 27(9)(a)

Statement relating to the Accounts of a Holder of a Capital Markets Services Licence

3

(For CMSLs licensed before 8 October 2018 – submission of quarterly and annual returns for periods ending after 31 December 2018; and for new CMSLs licensed after 8 October 2018)

(PDF, 156KB)

 

3

 (For submission of annual returns until the financial year ended 31 December 2018)

(PDF, 156KB) 

Regulation 27(9)(a)

Statement relating to the Accounts of a Holder of a Capital Markets Services Licence – Supplementary Information

4

(PDF, 269KB)

Regulation 27(8)

Auditor’s Report – For a Holder of a Capital Markets Services Licence

5
(PDF, 125KB)

Regulation 27(9)

Auditor’s Certification – For a Holder of a Capital Markets Services Licence

6
(PDF, 64.1KB)

Regulation 27(5)

Statement of Aggregate Margin Exposure to Single Approved Exchange

7
(PDF, 17KB)

Regulation 27(5)

Statement of Exposure to Margin Customers

8
(PDF, 22KB)

Regulation 27(5)

Statement of Exposure to Margined Single Specified Product

9
(PDF, 17KB)

 

Notes to Forms pursuant to Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations (Rg 13)

1. Forms 1-4, 7, 8 and 9 are required to be lodged by a holder of a capital markets services licence through MASNET. MASNET is a closed communication network system operated by the Authority which the holder of a capital markets services licence needs to subscribe to for the purpose of lodging the Forms specified above. 

2. Forms 5 and 6 should be lodged by MASNET email in a single zip file, together with any accompanying attachments in machine-readable format, to CMSLFS@masnet.mas.gov.sg.

3. Unless otherwise specified by the Authority in writing, member companies of the Singapore Exchange Limited ("SGX") are not required to lodge separate Forms for quarterly returns through MASNET to the Authority.  The Authority will receive such member companies' quarterly submission from the SGX. 

Last Modified on 25/10/2018