| 28 Mar 2008 |
Guidelines on the Calculation of Counterparty Risk Requirement for Specified Structured Warrants under Paragraph 3(2) of the Third Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N02] (PDF, 17KB) |
| 7 Dec 2007 |
Guidelines on the Specification of Entities under Sub-paragraph (b)(vi) of the Definition of "Qualifying Deposit" in Paragraph 1(4) of the Second Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations [Guideline No. FMR N01] (PDF, 93KB) |
| 7 Sep 2007 |
Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01] (PDF, 137KB) |
| 29 Dec 2006 |
Guidelines to MAS Notice SFA04-N02 on Prevention of Money Laundering and Countering the Financing of Terrorism (PDF, 78.1KB) |
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15 Sep 2006
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Guidelines on the Permissible Use of Customers' Money and Assets by Designated Clearing Houses under Section 63 of the Securities and Futures Act (Cap.289) (PDF, 19.8KB) [Guideline No. SFA 03-G02] |
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15 Oct 2005
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Business Trusts Guidelines 3
-Guidelines on Personal Offers made pursuant to the Exemption for Small Offers (PDF, 53.6KB)
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Business Trusts Guidelines 2
-Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private Placement (PDF, 112KB)
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Business Trusts Guidelines 1
-Guidelines on Disclosure of Financial Information in Prospectuses (PDF, 45.3KB) |
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Shares and Debentures Guidelines 4
-Guidelines on Personal Offers made pursuant to the Exemption for Small Offers (PDF, 52.3KB)
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Shares and Debentures Guidelines 3
-Guidelines on the Aggregation of Offers made pursuant to the Exemptions for Small Offers or Private Placement (PDF, 133KB)
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Shares and Debentures Guidelines 2
-Guidelines on Disclosure of Financial Information in Prospectuses (PDF, 45.5KB)
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| 1 Jul 2005 |
Guidelines on the Regulation of Markets [Guideline No. SFA 02-G01] (PDF, 110KB) |
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Guidelines on the Regulation of Clearing Facilities [Guideline No. SFA 03-G01] (PDF, 119KB) |
| 1 Jul 2005 |
Guidelines on Fit and Proper Criteria [Guideline No. MCG-01] (PDF, 44.6KB) - Cancelled on 7 Sep 2007 and replaced by Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01] issued on 7 Sep 2007 |
| 15 Oct 2004 |
Business Continuity Management Guidelines (PDF, 82.8KB) |
| 15 Oct 2004 |
Guidelines on Outsourcing (PDF, 80.2KB)- Last updated on 1 Jul 2005 |
| 27 Feb 2004 |
Guidelines on the Application of Section 339 (Extra-Territoriality) of the Securities and Futures Act [Guideline No. SFA 15-G01] (PDF, 57.3KB) - Last updated on 1 Jul 2005 |
| 22 Dec 2003 |
Guidelines on the Grant of a Temporary Representative's Licence [Guideline No. SFA 04-G04] (PDF, 20.5KB)- Last updated on 1 Jul 2005 |
| 17 Sep 2003 |
Shares and Debentures Guideline 2
-Guidelines on Disclosure of Financial Information in Prospectuses (PDF, 60.2KB) - Revoked on 15 Oct 2005 |
| 16 Jul 2003 |
Guidelines on Applications for Approval of Arrangements under Paragraph 9 of the Third Schedule to the Securities and Futures Act [Guideline No. SFA04-G03] (PDF, 47.2KB) - Last updated on 1 Jul 2005 |
| 11 Sep 2002 |
Guidelines on the Regulation of Markets (PDF, 168KB) - Cancelled on 1 Jul 2005 and replaced by Guidelines on the Regulation of Markets [Guideline No. SFA 02-G01] issued on 1 Jul 2005 |
| 25 Oct 2002 |
Guidelines On Duty Of Substantial Shareholders To Notify Securities Exchange
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| 1 Oct 2002 |
Guidelines on Criteria for the Grant of a Capital Markets Services Licence and Representative's Licence [Guideline No SFA04-G01] (PDF, 112KB) - Last updated on 1 Aug 2008 |
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Guidelines on Licence Applications and Payment of Fees [Guideline No. SFA04-G02] (PDF, 61KB) - Last updated on 1 Aug 2008 |
| 29 Aug 2002 |
CIS Guidelines 2 (Last updated on 15 Oct 2005)
-Guidelines on the Register of Participants and Sending Accounts and Reports to Participants (PDF, 13.2KB) |
| 25 Jun 2002 |
CIS Guidelines 1
-Internet Guidelines (PDF, 23.5KB) |
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Shares and Debentures Guidelines 1
-Internet Guidelines (PDF, 23.5KB) |
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Link to Guidelines on Risk Management Practices |
