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Licensing and Conduct of Business
Financial and Margin Requirements
Regulations
| 25 Jul 2008 |
Securities and Futures (Licensing and Conduct of Business) (Amendment No. 2) Regulations 2008 (PDF, 17KB)
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment No. 2) Regulations 2008 (PDF, 10KB)
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| 28 May 2008 |
Securities and Futures (Licensing and Conduct of Business) (Amendment) Regulations 2008 (PDF, 16KB) |
| 28 Mar 2008 |
Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) (Amendment) Regulations 2008 (PDF, 24KB) |
| 27 Feb 2008 |
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2008 (PDF, 30KB) |
| 19 Feb 2008 |
Securities and Futures (Provisions for Persons and Matters Previously Regulated under Commodity Trading Act) Regulations 2007 (PDF, 21KB) |
| 27 Aug 2007 |
Securities and Futures (Provisions for Persons and Matters Previously Regulated under Commodity Trading Act) Regulations 2007 (PDF, 31 KB)
Securities and Futures (Prescribed Futures Contracts) (Amendment) Regulations 2007 (PDF, 7.43 KB) - To come into effect on 27 February 2008
Securities and Futures (Financial and Margin Requirements for Holders of CMS Licences) (Amendment) Regulations 2007 (PDF, 20 KB) - To come into effect on 27 February 2008 |
| 20 Dec 2006 |
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment No 3.) Regulations 2006 (PDF, 125KB) |
| 28 Aug 2006 |
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment No.2) Regulations 2006 (PDF, 33.2KB) |
| 13 Feb 2006 |
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2006 (PDF, 25.2KB)
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| 9 Dec 2005 |
Securities and Futures (Appeals) Regulations (PDF, 130KB) |
| 1 Jul 2005 |
Securities and Futures (Licensing and Conduct of Business) (Amendment) Regulations 2005 (PDF, 45.2KB) |
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- FAQs (PDF, 90KB) (Last updated 27 Feb 2008)
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Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations (PDF, 33.3KB)
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Securities and Futures (Exemption from Requirement to hold Representative's Licence) (Revocation) Regulations 2005 (PDF, 21.4KB) |
| 26 Apr 2005 |
Securities and Futures (ESOS Financing Scheme) (Exemption) Regulations 2005 (PDF, 9.29KB) |
| 11 Oct 2004 |
Securities and Futures (Exemption from Financial and Margin Requirements) Regulations 2004 - Trans-Pacific Credit Pte Ltd (TPC) (PDF, 8.29KB) |
| 9 Jul 2004 |
Securities and Futures (Exemption of Phillip Financial Pte Ltd and Phillip Securities Pte Ltd) Regulations 2004 (PDF, 22.9KB)
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| 26 Nov 2003 |
Securities and Futures (Licensing and Conduct of Business) (Amendment) Regulations 2003 (PDF, 58.7KB)
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| 6 Nov 2003 |
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment No.2) Regulations 2003 (PDF, 6.88KB)
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| 10 Jul 2003 |
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2003 (PDF, 54.0KB)
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| 31 May 2003 |
Securities and Futures (Exemption from Requirement to Hold Representative's Licence) Regulations 2003 (PDF, 80.8KB) - Revoked on 1 Jul 2005
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| 24 Sep 2002 |
Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations 2002 (PDF, 204KB) |
| 11 Sep 2002 |
Securities and Futures (Licensing and Conduct of Business) Regulations 2002
- FAQs (PDF, 75.8KB) - Cancelled on 11 Jul 2005
Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations 2002
Securities and Futures (Market Conduct) (Exemptions) Regulations 2002
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| 08 Aug 2002 |
Securities and Futures (Capital Markets Services Licence and Representative's Licence) (Transitional and Savings Provisions) Regulations 2002
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Notices
| 1 Aug 2008 |
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-N06] (PDF, 125KB)
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| 28 Mar 2008 |
Notice to Persons Exempted under Regulation 2(2) of the Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations (Rg 11) from the Requirement under Section 82(1) of the Securities and Futures Act (Cap. 289) to Hold a Capital Markets Services Licence for the Regulated Activity of Trading in Futures Contracts and Representatives of such Persons [Notice No. SFA 04-N08] (PDF, 125KB)
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5 Sep 2005
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Notice on Prohibited Representations by Exempt Financial Institutions under the 2nd Schedule to the Securities & Futures (Licensing & Conduct of Business) Regulations [Notice No. SFA 04-N07] (PDF, 13.4KB)
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FAQs (PDF, 17.3KB) - Issued on 27 Oct 2005
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| 1 Jul 2005 |
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-N06] (PDF, 90KB) - Cancelled on 1 Aug 2008
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- FAQs (PDF,32.2KB) - Issued on 15 Apr 2005
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| 15 Apr 2005 |
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-N05] (PDF, 108KB) - Cancelled on 1 Jul 2005
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| 28 May 2004 |
Notice on Lending of Singapore Dollar to Non-Resident Financial Institutions for Holders of Capital Markets Services Licence [Notice No. SFA 04-N04] (PDF, 124KB)
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| 16 Jan 2004 |
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-N03] (PDF, 99.0KB) - Cancelled on 15 Apr 05
- FAQs (PDF, 58.6KB) - Cancelled on 15 Apr 05
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| 11 Nov 2002 |
Notice on Prevention of Money Laundering for Holders of a Capital Markets Services Licence [Notice No. SFA04-N02] (PDF, 81.0KB) |
| 01 Oct 2002 |
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-N01] (PDF, 138KB) - Cancelled on 16 Jan 04
- FAQs (PDF, 77.4KB) - Cancelled on 16 Jan 04
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| 01 Oct 2002 |
Notice on Cancellation Period for Collective Investment Schemes Constituted as Unit Trusts [Notice No. SFA 04/13-N01] (PDF, 36.4KB) - Last updated on 26 Jun 2003 |
Guidelines
Forms
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