Securities and Futures (Licensing and Conduct of Business)

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

Forms

 

Provisions of the Securities and Futures Act (Cap 289) and the Securities and Futures (licensing and Conduct of Business) Regulations (Rg 10)

Description of forms

Form Number

Section 84(1) read with regulation 6A

Application for a Capital Markets Services Licence (Other than for Fund Managers and Venture Capital Fund Managers)

1

(E-form 194KB)

Section 84(1) read with regulation 4A(3) and 6A(2)

Application for a Capital Markets Services Licence for Fund Management Company

1A 

 

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above.

 

For information on Corporate e-Lodgment, please refer to the User Guide.

 Section 84(1) read with regulation 6A(3)

 Application for a Capital Markets Services Licence for Venture Capital Fund Manager

1V

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above.

 

For information on Corporate e-Lodgment, please refer to the User Guide.

Section 99D and regulation 3A

Notification for Appointment of an Appointed Representative

On-line Format
Please refer to the bottom of this page for the link to MASNET.

 

3A 

(PDF 93KB)

Note: The form should be used only by corporations which are applying for

(i) a Capital Markets Services Licence (Other than for Fund Management) for the notification of appointment of representatives and it should be submitted by email; or

(ii) a Capital Markets Services Licence for Fund Management for the notification of appointment of representatives and it should be submitted using Corporate e-Lodgment. The Online Format of this form should be used by a holder of a Capital Markets Services Licence for the notification of appointment of representatives and it should be submitted using MASNET.

 

Section 99E(5) and regulation 3A

Notification for Appointment of a Provisional Representative

On-line Format
Please refer to the bottom of this page for the link to MASNET.

 

3B

(PDF 598KB)

 

Note: The form should be used only by corporations which are applying for a Capital Markets Services Licence for the notification of appointment of representatives and it should be submitted by email.

Section 99F and regulation 3C

Notification for Appointment of a Temporary Representative

On-line Format
Please refer to the bottom of this page for the link to MASNET.

3C

(PDF 426KB)

Note: The form should be used only by corporations which are applying for a Capital Markets Services Licence for the notification of appointment of representatives and it should be submitted by email.

 

Section 99E(5) and regulation 3B(2)

Notification of the Completion of the Examination Requirements by a Provisional Representative

On-line Format
Please refer to the bottom of this page for the link to MASNET.

3D

(PDF 429KB)

 

Section 90(1) read with regulation 11A

Application for Additional Regulated Activity under a Capital Markets Services Licence

5

(PDF 299KB)

 

Section 99L and regulation 5

Notification to Add Activity(ies) of a Representative

On-line Format
Please refer to the bottom of this page for the link to MASNET.

6
(PDF 427KB)

Section 93(1) and regulation 11

Notice of Cessation of Business

7
(PDF 163KB)

Section 99D(8), 99E(4) and 99F(4)

Notification for Cessation of a Representative in any or all of the Regulated Activities

On-line Format
Please refer to the bottom of this page for the link to MASNET.

8
(PDF 492KB)

Section 93(1)

Notice of Change of Principal Place of Business

10
(PDF 44KB)

Section 96(1) and regulation 12

Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive

11
(PDF 393KB)

Section 96(1) and regulation 12

Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive (For Licensed Fund Management Companies)

11 

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above.

 

For information on Corporate e-Lodgment, please refer to the User Guide.

Regulations 47E(1) and 39(2)(c)

Risk Disclosure Statement Required to be Furnished and Kept by the Holder of a Capital Markets Services Licence to Trade in Capital Markets Products in respect of Futures and certain Over-The-Counter Derivatives Contracts

13

(PDF 357KB)

Regulations 47E(2) and 39(2)(d)

Risk Disclosure Statement Required to be Furnished under Regulation 47E(2) and to be kept under Regulation 39(2)(d) by the holder of a Capital Markets Services Licence for Fund Management relating to Management of Portfolio of Capital Markets Products in respect of Futures and certain Over-The-Counter Derivatives Contracts

14
(PDF 124KB)

Section 99H(5) and Regulation 5

Notification to Change Particulars for a Representative

On-line Format
Please refer to the bottom of this page for the link to MASNET.

 

16

(PDF 433KB)

Regulation 7(6)

Notice Calling for Claims against Deposit lodged with the Authority

17
(PDF 6.57KB)

Para 7(6)(a) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

 Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the Regulations

22

(PDF 337KB)

 

Para 5(1)(i) read with 5(7I) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Notice of Commencement of Business as Registered Fund Management Company

22A 

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above. 

For information on Corporate e-Lodgment, please refer to the User Guide.

Para 7(6)(b) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance

23
(PDF 332KB)

Para 5(1)(i) read with 5(7I) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business)Regulations/Regulation 14(5)

Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund Manager 

           

 23A

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above.

 

For information on Corporate e-Lodgment, please refer to the User Guide.

Para 7(6)(c) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Notice of Cessation of Business by Persons Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the Regulations

24

(PDF 147KB)

Para 5(1)(i) read with 5(7I) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Notice of Cessation of business as a Registered Fund Management Company

24A

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above.

 

For information on Corporate e-Lodgment, please refer to the User Guide.

Para 7(6)(d) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the Regulations

25

(PDF 280KB)

Para 5(1)(i) read with 5(7I) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

/ Regulation 14(5) read with regulation 14(6)

Annual Declaration by a Registered Fund Management company
or a Venture Capital Fund Manager


25A

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above.

 

For information on Corporate e-Lodgment, please refer to the User Guide.

 Para 5(1)(i) read with 5(7I) of Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Auditor's Report for a Registered Fund Management company

25B

To access these forms, you will require Adobe Acrobat Reader version 9.4.4 or above.

For information on Corporate e-Lodgment, please refer to the User Guide.

Regulation 14(4)

 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)

26

(PDF 298KB)

    Regulation 14(4)

 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)

27
(PDF 284KB)

Regulation 14(4)

 Declaration by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d)

28
(PDF 292KB)

Regulation 14(4)

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)

29

(PDF 281KB)

Para 3(4)(c) and/or 3A(4)(c) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Notice of Commencement of Business lodged by a Person exempted from holding a Capital Markets Services Licence to carry on Business of Dealing in capital Markets Products that are Futures Contracts and/or Over-The-Counter Derivatives Contracts under Para 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Regulations 

 

30

(E-form 117KB)

Para 3(4)(c) and/or 3A(4)(c) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Notice of Change in Particulars lodged by a Person exempted from holding a Capital Markets Services Licence to carry on Business of Dealing in capital Markets Products that are Futures Contracts and/or Over-The-Counter Derivatives Contracts under Para 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Regulations

 

31

(E-form 187KB)

Para 3(4)(c) and/or 3A(4)(c) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Notice of Cessation of Business lodged by a Person exempted from holding a Capital Markets Services Licence to carry on Business of Dealing in capital Markets Products that are Futures Contracts and/or Over-The-Counter Derivatives Contracts under Para 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Regulations

 

32

(E-form 56KB)

Para 3(4)(c) and/or 3A(4)(c) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Annual Declaration lodged by a Person exempted from holding a Capital Markets Services Licence to carry on Business of Dealing in capital Markets Products that are Futures Contracts and/or Over-The-Counter Derivatives Contracts under Para 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Regulations

 

33

(E-form 49KB)

Para 3(4) and/or 3A(4) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations

Auditor's Report for Persons exempted from holding a Capital Markets Services Licence to Deal in capital Markets Products that are Futures Contracts and/or Over-The-Counter Derivatives Contracts under Para 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Regulations

 

34

(PDF 473KB)

 

 

Notes to Forms pursuant to Securities and Futures (Licensing and Conduct of Business) Regulations (Rg 10)

1. Forms 5, 7, 10, 11 (other than for licensed fund management companies), 23-29, 31-33 and 34 should be lodged by email in a single password-protected zip file to your MAS officer-in-charge, together with any accompanying attachments in machine-readable format. The password should be communicated via a different medium (e.g, telephone).

2. Forms 3A, 3B, 3C, 3D, 6, 8 and 16 are to be submitted on-line using the Representative Notification System on MASNET, unless otherwise stated in the table above. MASNET is a closed communication network system operated by the Authority which a Capital Markets Services Licence ["CMS"] Holder or a financial institution exempt from holding CMS Licence under section 99(1)(a), (b), (c) or (d) of the SFA needs to subscribe to for the purpose of lodging the forms specified above.

3. Forms 2, 4, 9, 12, 18, 19, 20 and 21 are no longer in use and have been removed.

4. For Forms 1, 22, 26 and 30, new corporations should submit them to webmaster@mas.gov.sg in a single password-protected zip file together with any accompanying attachments in machine-readable format. An MAS officer will contact you for the password. 

Last Modified on 25/10/2018