Types of Capital Markets Entities in Singapore
Find out about the different capital markets entities, and their regulated activities and licensing requirements.
Find out about regulations, updates and licensing for capital markets entities, including fund managers, REIT managers, corporate finance advisers, trustees, dealers, credit rating agencies and financial advisers.
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Financial Action Task Force (FATF) report on red flag indicators to assist financial institutions in identifying and reporting potential money laundering and terrorist financing activities involving virtual assets
Information on culture and conduct outcomes financial institutions should work towards in specific areas such as governance, hiring, communication channels and performance management. The paper also provides examples of good practices gathered from a thematic survey and dialogue sessions conducted by MAS with banks, insurers and capital market intermediaries.
Guidance on the five high level outcomes that financial institutions should achieve to promote the accountability of senior managers, strengthen oversight over material risk personnel, and reinforce conduct standards among all employees.
To consult on the draft notices on the competency requirements for representatives conducting regulated activities under the Financial Advisers Act and Securities and Futures Act.
Sets out MAS’ supervisory expectations of effective AML/CFT controls in the private banking industry. The paper follows from a series of thematic inspections on private banks (“PBs”), and supplements the MAS’ Guidance on Private Banking Controls issued in 2014.