Acts
Published Date: 09 January 2018

Disclosure of Interest in Listed Securities

Find requirements and forms for notifying interests or changes in interests under Part VII of the Securities and Futures Act.

Who Needs to Disclose

The disclosure obligations, set out in Part VII of the Securities and Futures Act (SFA) , apply to the following persons:

  • Director or chief executive officer (CEO) of a listed corporation (except a foreign corporation with a secondary listing on the approved exchange).
  • Trustee-manager of a listed business trust (BT).
  • Responsible person for a listed real estate investment trust (REIT).
  • Substantial shareholder of a listed corporation (except a foreign corporation with a secondary listing on the approved exchange) or substantial unitholder of a listed/unlisted BT or listed REIT.
  • Shareholder of an unlisted trustee-manager of a listed BT or unlisted responsible person of a listed REIT.

See also: Securities and Futures (Disclosure of Interests) Regulations 2012

Note: MAS may publish details of enforcement actions taken under Part VII of the SFA on the disclosure of interests in listed entities.

Forms and Templates

Use these forms for notifying interests or changes in interests under Part VII of the SFA . For instructions, see:

Purpose Who to Notify Non-Electronic Form Electronic Form
Form 1
Interests or changes in interests in the securities of listed issuer
By:
Director/CEO of:
  • Listed corporation
  • Trustee-manager of listed business trust (BT)
  • Responsible person of listed real estate investment trust (REIT)
To:
  • Listed corporation
  • Trustee-manager of listed BT
  • Responsible person of listed REIT
Form 1 (Electronic) (101.5 KB)

Form 1 (Non-Electronic) (296 KB)

Part III Continuation Sheet (Non-Electronic) (196.1 KB)

Form 2
Interests or changes in interests in the securities of a related corporation of the listed company
By: Director of listed company incorporated in Singapore

To: Listed company
NA

Form 2 (Non-Electronic) (274.3 KB)

Part II Continuation Sheet (Non-Electronic) (84.6 KB)

Part III Continuation Sheet (Non-Electronic) (129.1 KB)

Form 3
Changes in percentage level of interests in voting shares of listed corporation or voting units in listed BT/REIT
By:
  • Substantial shareholder of listed corporation
  • Substantial unitholder of listed BT or REIT
To:
  • Listed corporation
  • Trustee-manager of listed BT
  • Responsible person and trustee of listed REIT
Form 3 (Electronic) (101 KB)

Form 3 (Non-Electronic) (268.8 KB)

Part II Continuation Sheet (Non-Electronic) (160.4 KB)

Part III Continuation Sheet (Non-Electronic) (154.2 KB)

Form 4
Interests or changes in interests in the securities of listed issuer
By: Registered holder of securities in listed issuer

To: Person who has a deemed interest in the securities
NA

Form 4 (Non-Electronic) (229.1 KB)

Part II Continuation Sheet (Non-Electronic) (96.6 KB)

Form 5
Changes in interests in the voting shares of the trustee-manager or responsible person
By:
  • Shareholder of an unlisted trustee-manager of a listed BT
  • Shareholder of an unlisted responsible person of a listed REIT
To:
  • Trustee-manager of listed BT
  • Responsible person of listed REIT
Form 5 (Electronic) (69.4 KB)

Form 5 (Non-Electronic) (234.3 KB)

Part II Continuation Sheet (Non-Electronic) (137.5 KB)

Form 6
Interests or changes in interests in the securities of the BT/REIT
By:
  • Trustee-manager of a listed BT
  • Responsible person of a listed REIT
To: Investors via SGXNet announcement (i.e. Form 7)
Form 6 (Electronic) (75.1 KB) NA
Form 7
Forms 1, 3 and 5 received from directors, CEOs, substantial shareholders/unitholders and shareholders of unlisted trustee-manager/responsible person, and Form 6

Note: This form is set out as an announcement template which can be accessed on SGXNet .
By:
  • Listed corporation
  • Trustee-manager of listed BT
  • Responsible person of listed REIT
To: Investors
NA Form 7 (Non-Electronic) (102.8 KB)

Note: Listed issuers should use the announcement template on SGXNet for the purposes of complying with the announcement requirements.
Form C
Particulars and contact information
By:
  • Reporting person giving notice using Form 1, 3, 5, 6
  • Listed issuer
To: Listed issuer and the Authority
Form C (Electronic) (68.9 KB)

Form C (Non-Electronic) (222.6 KB)

Part I Continuation Sheet (Non-Electronic) (94.5 KB)

Updates

Date Description
21 Mar 14

Updated versions of forms for notifying interests under Part VII of SFA
- SGX email to listed issuers and reporting persons (87.6 KB)
- Attachment 1: Features of new SGXNet DICI Announcement Template (662.8 KB)
- Attachment 2: Common mistakes to avoid by reporting persons and listed issuers (157.5 KB)

08 Oct 12

MAS letter to directors/CEOs of listed corporations (308.6 KB), responsible persons of listed real estate investment trusts (219.5 KB) (REITs) or trustee-managers of listed business trusts (228.5 KB) (BTs)

08 Oct 12

MAS letter to substantial shareholders/unitholders of listed corporations (259.1 KB), REITs (248.2 KB) or BTs (260.5 KB)

08 Oct 12

MAS letter to shareholders of:

08 Oct 12

MAS letter to:

08 Oct 12

MAS press release on the disclosure of interests regime