Provision of the Securities and Futures Act (Cap 289) and the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg 10)
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Description of forms
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Form Number
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Section 84(1) read with regulation 6A, and regulation 3D
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Application for a Capital Markets Services Licence and Notice of Particulars |
1
(PDF, 145KB)
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| 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 - Hardcopy Format
(PDF, 103KB)
[Note: The form in "Hardcopy Format" should only be used for notification for appointment of representatives for corporations which are applying for a Capital Markets Services Licence and it should be submitted by hand or by post.]
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| Section 99E 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, 116KB)
[Note: The form in "Hardcopy Format" should only be used for notification for appointment of representatives for corporations which are applying for a Capital Markets Services Licence and it should be submitted by hand or by post.]
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| Section 99F and regulation 3A |
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, 108KB)
[Note: The form in "Hardcopy Format" should only be used for notification for appointment of a representatives of a corporation applying for a Capital Markets Services Licence, and it should be submitted by hand or by post.]
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| Section 99E(5) and regulation 3B(2) |
Notification of the Completion of Examination Requirements by a Provisional Rep |
On-line Format
Please refer to the bottom of this page for the link to MASNET.
3D - Hardcopy Format
(PDF, 86KB)
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| Section 90(1) read with regulation 11A |
Application for Additional Regulated Activity under a Capital Markets Services Licence |
5
(PDF, 95KB)
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| 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, 75KB)
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Section 93(1) and regulation 11
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Notice of Cessation of Business |
7
(PDF, 104KB)
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| Section 99D(8), 99E(4), and 99F(4) and regulation 11B |
Notification for the 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, 70KB)
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| Sections 93(1) and 132(1) and regulation 4(1) |
Notice for Change of Principal Place of Business/
Notice for Change of Place at which Register of Interests in Securities is Kept
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10
(PDF, 22KB)
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| 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 (last updated on 17 January 2012) |
11
(PDF, 191KB)
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| 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, 30KB)
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| Regulations 47E(2) and 39(2)(d) |
Risk Disclosure Statement Required to be Furnished and Kept
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, 16KB)
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| Section 131(1)(a) and regulation 3D |
Register of Interests in Securities |
15
(PDF,12KB)
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| Regulation 3(2)(b) of the Securities and Futures (Exemption from section 99B) Regulations 2010 |
Register of Interests in Extended Settlement Contracts |
15A
(PDF,80KB)
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| 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, 116KB)
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| Regulation 7 (6) |
Notice Calling for Claims against Deposit lodged with the Authority |
17
(PDF,6.57KB)
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| Paragraph 4 (6) (a) of the Second Schedule to the Regulations |
Notice of Commencement of Business Lodged Pursuant to Paragraph 4(6)(a) of the Second Schedule to the Regulations by Person Exempted from Holding a Capital Markets Services Licence to Carry on Business in Leverage Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the Regulations |
18
(PDF,42.0KB)
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| Paragraph 4 (6) (b) of the Second Schedule to the Regulations |
Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the Regulations |
19
(PDF,138KB)
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| Paragraph 4 (6) (c) of the Second Schedule to the Regulations |
Notice of Cessation of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the Regulations |
20
(PDF, 9.25KB)
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| Paragraph 4 (6) (d) of the Second Schedule to the Regulations |
Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Leveraged Foreign Exchange Trading under Paragraph 4(1)(c) of the Second Schedule to the Regulations |
21
(PDF, 19KB)
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| Paragraphs 5 (7) (a) and 7 (6) (a) of the Second Schedule to the Regulations |
Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the Regulations |
22
(PDF, 44KB)
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| Paragraphs 5 (7) (b) and 7 (6) (b) of the Second Schedule to the Regulations |
Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the Regulations |
23
(PDF, 146KB)
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| Paragraphs 5 (7) (c) and 7 (6) (c) of the Second Schedule to the Regulations |
Notice of Cessation of Business by Persons Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the Regulations |
24
(PDF, 9.31KB)
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| Paragraphs 5 (7) (d) and 7 (6) (d) of the Second Schedule to the Regulations |
Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Fund Management or Advising on Corporate Finance under Paragraph 5(1)(d) or 7(1)(b) of the Second Schedule to the Regulations |
25
(PDF, 30KB)
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| Regulation 14(4) |
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, 87KB)
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| 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, 75KB)
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Regulation 14(4)
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Declaration by a Person Exempted from Holding a Capital Markets Services Licence under section 99(1)(a), (b), (c) and (d) |
28
(PDF, 37KB)
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Regulation 14(4)
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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)
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29
(PDF, 74KB)
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