Forms
Except for forms lodged through MASNET, all other forms should be submitted to :
Capital Markets Intermediaries Department
Monetary Authority of Singapore
10 Shenton Way
MAS Building
Singapore 079117
Financial and Margin Requirements
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Provision of the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations (Rg 13)
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Description of forms
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Form Number
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Manner of Lodgment*
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| Regulation 27 (1)(a), (3)(a), and (9)(b) and (e) |
Statement of assets and liabilities
(i) Form effective till 19 December 2006
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(i)1
(PDF, 23.2KB)
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Lodgment through MASNET
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| Regulation 27 (1)(a), (3)(a), and (9)(b) and (e) |
Statement of assets and liabilities
(i) Form applicable with effect from 20 December 2006
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(ii)1
(PDF,22.8KB)
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Lodgment through MASNET
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| Regulation 27 (1)(b) and (9)(b) |
Statement of financial resources, total risk requirement and aggregate indebtedness
(i) Form effective till 19 December 2006
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(i)2
(PDF,17.6KB)
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Lodgment through MASNET
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| Regulation 27 (1)(b) and (9)(b) |
Statement of financial resources, total risk requirement and aggregate indebtedness
(ii) Form applicable with effect from 20 December 2006
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(ii)2 (PDF,17.6KB)
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Lodgment through MASNET
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| Regulation 27 (2)(a) and 9(c) |
Statement of assets and liabilities, and adjusted net capital |
3
(PDF,23.0KB)
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Lodgment through MASNET
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| Regulation 27 (2)(b) and (9)(d) |
Statement of assets and liabilities, adjusted net capital, and segregation requirement and location of segregated funds |
4
(PDF,21.3KB)
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Lodgment through MASNET
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| Regulation 27 (3)(b) and (9)(e) |
Statement of financial resources and total risk requirement
(i) Form effective till 19 December 2006
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(i)5
(PDF,11.7KB)
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Lodgment through MASNET
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| Regulation 27 (3)(b) and (9)(e) |
Statement of financial resources and total risk requirement
(i) Form applicable with effect from 20 December 2006
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(ii)5
(PDF,11.6KB)
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Lodgment through MASNET
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Regulation 27 (9)(a)
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Statement relating to the accounts of a holder of a capital markets services licence
(i) Form effective till 19 December 2006
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(i)6
(PDF,14.7KB)
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Lodgment through MASNET
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Regulation 27 (9)(a)
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Statement relating to the accounts of a holder of a capital markets services licence
(i) Form applicable with effect from 20 December 2006
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(ii)6
(PDF,34.0KB)
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Lodgment through MASNET
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| Regulation 27 (8) |
Auditor's report - for a holder of a capital markets services licence
(i) Form applicable for financial period ending before 1 April 2006
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(i)7
(PDF,11.6KB)
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Lodgment by personal delivery or by pre-paid post
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| Regulation 27 (8) |
Auditor's report - for a holder of a capital markets services licence
(i) Form applicable for financial period ending on or after 1 April 2006
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(ii)7
(PDF,11.5KB)
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Lodgment by personal delivery or by pre-paid post
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| Regulation 27 (9) |
Auditor's certification - for a holder of a capital markets services licence |
8
(PDF,8.20KB)
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Lodgment by personal delivery or by pre-paid post
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| Regulation 27 (5) |
Statement of aggregate margin exposure to single securities exchange |
9
(PDF,19.0KB)
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Lodgment through MASNET
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| Regulation 27 (5) |
Statement of exposure to margin customers |
10
(PDF,20.8KB)
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Lodgment through MASNET
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| Regulation 27 (5) |
Statement of exposure to margined single security |
11
(PDF,9.78KB)
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Lodgment through MASNET
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Notes:
1. 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 that have to be lodged by a holder of a capital markets services licence with the Authority through the MASNET system do not have to be signed by its Director. However, in some exceptional cases, the Authority may allow or require the lodgment of Forms by other means, such as by personal delivery or pre-paid post, for example in cases where submission via electronic means is not possible. Lodgment of Forms by personal delivery or pre-paid post is also allowed during the period of 6 months from the date of commencement of the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2005. In the case where the Forms are lodged by personal delivery or pre-paid post, the following declaration shall also be included at the end of the Forms and signed by the Director:
"I certify that the above statement has, to the best of my knowledge and belief, been drawn up to comply with the requirements of the Securities and Futures Act (Cap. 289) and the requirements as may be prescribed or specified by the Authority, in particular, regulation 27 of the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations (Rg 13) and the information contained in the above statement is to the best of my knowledge and belief true and correct.
Signature: _______________________
_______________________
(Name of Director)
Date: (dd/mm/yy) "
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.
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