Securities and Futures Act 2001

Acts

Published Date: 01 April 2006

Governs the regulation of activities and institutions in the securities and derivatives industry, including leveraged foreign exchange trading of financial benchmarks and of clearing facilities.

08 Oct 2018: Securities and Futures (Amendment) Act 2017 (Commencement) (No. 3) Notification 2018 takes effect.
01 Oct 2018: Securities and Futures (Amendment) Act 2017 (Commencement) (No. 2) Notification 2018 takes effect.

Guidance

Last Revised Date: 23 March 2023

Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the SFA other than for fund managers and REIT managers)

This Compliance Toolkit aims to provide guidance on: • Applications to be submitted for approval to MAS; and • Notifications and regulatory submissions to MAS. This Compliance Toolkit serves as a guide to capital market services licensees (other than fund managers and REIT managers), exempt financial institutions (e.g. banks and finance companies) and other exempt entities (e.g. exempt corporate finance advisers) on the various approval and reporting requirements and timelines under the SFA and its subsidiary instruments.

Licensing, Authorisation and Registration Capital and Financial Resources Margins Financial Returns Notifications Declarations Exemptions Key Appointments Fit and Proper Criteria
Circulars

Published Date: 14 March 2023

CMI 02/2023 Observations from Inspections of Licensed Venture Capital Fund Managers

This circular sets out MAS’ observations and expectations from inspections of licensed venture capital fund managers.

Disclosures Investment Management Corporate Governance Capital and Financial Resources
Guidance

Last Revised Date: 11 January 2023

Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS for REIT Managers

This Compliance Toolkit aims to guide and facilitate REIT managers’ compliance with the various MAS approval and reporting requirements and timelines.

Licensing, Authorisation and Registration Capital and Financial Resources Margins Financial Returns Notifications Exemptions Key Appointments Fit and Proper Criteria Security Deposit and PII
Guidance

Last Revised Date: 11 January 2023

Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS for Fund Managers

This Compliance Toolkit aims to guide and facilitate licensed fund management companies, registered fund management companies, venture capital fund managers’ compliance with the various MAS approval and reporting requirements and timelines.

Licensing, Authorisation and Registration Capital and Financial Resources Margins Financial Returns Notifications Exemptions Key Appointments Fit and Proper Criteria Investment Management
Circulars

Published Date: 19 May 2022

CMI 13/2021 Reporting of Significant Redemption, Gating and Suspension of Funds

This circular sets out the reporting requirements for significant redemption, gating and suspension of funds by licensed and registered fund management companies.

Offers of Collective Investment Schemes Liquidity Risk Investment Management
Forms and Templates

Last Revised Date: 07 October 2021

Form 3 - Application for Approval to Act as a Trustee for Collective Investment Schemes under Section 289(1)

Form for entities applying to be a trustee for an authorised collective investment scheme.

Licensing, Authorisation and Registration
Circulars

Published Date: 27 July 2020

CMI 32/2020 Good Practices for Disclosure of Actively Managed Funds

This circular sets out good disclosure practices for actively managed funds, following a thematic review carried out by the Monetary Authority of Singapore (MAS) on equity funds offered to retail investors. These good practices relate to disclosures of the investment objective and the extent to which the portfolio deviates, or can deviate from the reference benchmark, as measured in part by quantitative metrics such as active share and tracking error.

Offers of Collective Investment Schemes Offers of Securities or Securities-Based Derivatives Contracts
Exemptions

Published Date: 25 July 2019

Exemptions issued under s337(2) SFA - 2Q2019

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from1 April 2019 to 30 June 2019.

Exemptions
Exemptions

Published Date: 23 April 2019

Exemptions issued under s337(2) SFA 1Q2019

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2018 to 31 March 2019.

Exemptions
Exemptions

Published Date: 31 January 2019

Exemptions issued under s337(2) SFA 4Q2018

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 October 2017 to 31 December 2018.

Exemptions
Exemptions

Published Date: 08 November 2018

Exemptions issued under s337(2) SFA - 3Q2018

Exemptions granted by MAS under section 337(2) of the SFA for the period from 1 July to 30 September 2018.

Exemptions Licensing, Authorisation and Registration
Exemptions

Published Date: 16 August 2018

Exemptions issued under s337(2) SFA - 2Q2018

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2018 to 30 June 2018.

Exemptions
Enforcement Actions

Published Date: 03 July 2018

MAS Reprimands Taiyo Asset Management Pte Ltd for Recurring Late Regulatory Submissions, and Tey Eng Chee Thomas for Failing to Discharge his Duty and Function as Director

1 On 3 July 2018, MAS reprimanded: (i) Taiyo Asset Management Pte Ltd (TAMPL) for being repeatedly late in its submissions of: (a) annual declaration and auditor reports, which were late by up to two years, for the financial years ending 2014, 2015 and 2016; (b) changes in the appointment and cessation of its director...
Exemptions

Published Date: 07 June 2018

Exemptions issued under s337(2) SFA - 1Q2018

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2018 to 31 March 2018.

Exemptions
Exemptions

Published Date: 06 February 2018

Exemptions issued under s337(2) SFA - 4Q2017

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 October 2017 to 31 December 2017.

Exemptions
Exemptions

Published Date: 03 November 2017

Exemptions issued under s337(2) SFA - 3Q2017

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 July 2017 to 30 September 2017.

Exemptions
Exemptions

Published Date: 11 July 2017

Exemptions issued under s337(2) SFA - 2Q2017

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2017 to 30 June 2017.

Exemptions
Exemptions

Published Date: 24 April 2017

Exemptions issued under s337(2) SFA - 1Q2017

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2017 to 31 March 2017.

Exemptions
Exemptions

Published Date: 20 March 2017

Exemptions issued under s337(2) SFA - 4Q2016

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 October 2016 to 31 December 2016.

Exemptions
Exemptions

Published Date: 18 November 2016

Exemptions issued under s337(2) SFA - 3Q2016

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 July 2016 to 30 September 2016.

Exemptions
Exemptions

Published Date: 11 August 2016

Exemptions issued under s337(2) SFA - 2Q2016

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2016 to 30 June 2016.

Exemptions
Exemptions

Published Date: 26 May 2016

Exemptions issued under s337(2) SFA - 1Q2016

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2016 to 31 March 2016.

Exemptions
Exemptions

Published Date: 03 February 2016

Exemptions issued under s337(2) SFA - 4Q2015

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 October 2015 to 31 December 2015.

Exemptions
Exemptions

Published Date: 18 December 2015

Exemptions issued under s337(2) SFA - 3Q2015

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 July 2015 to 30 September 2015.

Exemptions
Exemptions

Published Date: 21 July 2015

Exemptions issued under s337(2) SFA - 2Q2015

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2015 to 30 June 2015.

Exemptions
Exemptions

Published Date: 29 April 2015

Exemptions issued under s337(2) SFA - 1Q2015

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2015 to 31 March 2015.

Exemptions
Exemptions

Published Date: 18 March 2015

Exemptions issued under s337(2) SFA - 4Q2014

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 September to 31 December 2014.

Exemptions
Exemptions

Published Date: 24 October 2014

Exemptions issued under s337(2) SFA -3Q2014

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 July 2014 to 30 September 2014.

Exemptions
Exemptions

Published Date: 05 September 2014

Exemptions issued under s337(2) SFA - 2Q2014

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2014 to 30 June 2014.

Exemptions
Exemptions

Published Date: 22 July 2014

Exemptions issued under s337(2) SFA - 1Q2014

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2014 to 31 March 2014.

Exemptions
Exemptions

Published Date: 15 May 2014

Exemptions issued under s337(2) SFA - 4Q2013

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 Oct 2013 to 31 December 2013.

Exemptions
Exemptions

Published Date: 07 March 2014

Exemptions issued under s337(2) SFA - 3Q2013

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 July 2013 to 30 September 2013.

Exemptions
Exemptions

Published Date: 03 October 2013

Exemptions issued under s337(2) SFA - 2Q2013

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2013 to 30 June 2013.

Exemptions
Exemptions

Published Date: 11 June 2013

Exemptions issued under s337(2) SFA - 1Q2013

View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2013 to 31 March 2013.

Exemptions