Published Date: 03 June 2015

Consultation Paper on Regulatory Framework for Intermediaries Dealing in OTC Derivative Contracts, Execution-Related Advice, and Marketing of Collective Investment Scheme

Covered three proposals: (i) Regulatory framework for capital markets services licensees, banks, merchant banks and finance companies dealing in OTC derivative contracts under the SFA, including capital, business conduct and other requirements; (ii) exemption for execution-related advice on listed excluded investment products under the FAA; and (iii) transferring the regulation of marketing of CIS from the FAA to SFA.
Consultation Number:
Start Date:
03 June 2015
Closing Date:
03 July 2015
MAS Response Date:
29 December 2015
Response date: 29 Dec 2015
The consultation response was published on 29 December 2015.