Securities and Futures (Licensing and Conduct of Business)

All forms should be submitted to:

Capital Markets Intermediaries Department
Monetary Authority of Singapore
10 Shenton Way
MAS Building
Singapore 079117

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, regulation 4A(3)

Application for a Capital Markets Services Licence and Notice of Particulars

1

(PDF 70.71B)

Section 84(1) read with regulation 6A(2), section 132(1),

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 129.29 KB)

Note: The form in "Hardcopy Format" 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 hand or by post.

.

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 - Hardcopy format

(PDF 115.86 KB)

 

Note: The form in "Hardcopy Format" 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 hand or by post.

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 - Hardcopy format

(PDF 124.56 KB)

Note: The form in "Hardcopy Format" 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 hand or by post.

.

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 – Hardcopy format

(PDF 86.41 KB)

 

Section 90(1) read with regulation 11A

Application for Additional Regulated Activity under a Capital Markets Services Licence

5

(PDF 162.28KB)

 

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 – Hardcopy format
(PDF 99.60 KB)

Section 93(1) and regulation 11

Notice of Cessation of Business

7
(PDF 90.24KB)

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 – Hardcopy format
(PDF 94.78 KB)

Section 93(1), regulation 4A(4) and (5)

Notice of Change of Principal Place of Business/Notice of Change of Place at which Register of Interests in Securities is Kept

10
(PDF 27.06KB)

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 261.08KB)

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 Futures Contracts or Leveraged Foreign Exchange Contracts

13
(PDF 29.67KB)

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

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 Futures Contracts, and Foreign Exchange

14
(PDF 16.29KB)

Regulation 4(1)

Registration of Interests in Securities

15
(PDF 18.24KB)

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 – Hardcopy format
(PDF 116.35KB)

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 165.02KB)

 

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 161.44KB)

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

Notice of Change of Particulars for Registered Fund Management Company

           

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 11.02KB)

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 110.30KB)

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 86.84 KB)

         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 74.86KB)

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 37.29KB)

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 73.71 KB)

 

 

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

1. Subject to paragraph 2 of these Notes, the above Forms may be lodged by personal delivery or by pre-paid post.

2. Forms 3A, 3B, 3C, 3D, 6, 8 and 16 are to be submitted on-line using the Representative Notification System on MASNET using the link appended below, 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.

Last Modified on 11/12/2017