Notice SFA 04-N13 Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences
How to comply with risk based capital adequacy requirements.
FAQs
FAQs on Lodgement of Financial Returns under the Securities and Futures (Financial and Margin Requirements) Regulations
Provides guidance on the requirements and procedures relating to the lodgement of financial returns by capital markets services licensees.
Related to this Item
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FAQsPublished Date: 03 November 2020
FAQs on the Risk Based Capital Adequacy Requirements for Capital Markets Services Licence Holders
This set of FAQs aims to guide and assist capital markets services licensees in complying with the risk based capital adequacy requirements under the Securities and Futures (Financial and Margin Requirements) Regulations and the Notice on Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences.
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Forms and TemplatesPublished Date: 08 October 2018
Form 9 - Statement of Exposure to Margined Single Specified Product
Form for capital markets services licensees providing product financing to provide information on their exposures to specified products. This form must be submitted within 14 days from the end of each quarter.
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Forms and TemplatesPublished Date: 08 October 2018
Form 4 - Statement relating to the Accounts of a Holder of a Capital Markets Services Licence – Supplementary Information
Form for capital markets services licensees to submit supplementary information on their annual balance sheet and profit and loss accounts. This form must be submitted within five months from the end of the financial year.
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Forms and TemplatesPublished Date: 08 October 2018
Form 1 - Statement of Assets and Liabilities (For Submissions After the Quarter/Financial Year Ended 31 December 2018)
Form for capital markets services licensees to provide a breakdown of their assets and liabilities. This form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending after 31 December 2018.
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Forms and TemplatesPublished Date: 08 October 2018
Form 3 - Statement related to the Accounts of a CMS Licence (for submissions after Quarter FY Ended 31 Dec 2018)
Form for capital markets services licensees to submit their audited annual profit and loss accounts to MAS. This form must be submitted within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending after 31 December 2018.
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Forms and TemplatesPublished Date: 08 October 2018
Form 8 - Statement of Exposure to Margin Customers
Form for capital markets services licensees providing product financing to provide information on their exposures to margin customers. This form must be submitted within 14 days from the end of each quarter.
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Forms and TemplatesPublished Date: 08 October 2018
Form 2 - Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness (For Submissions After the Quarter/Financial Year Ended 31 December 2018)
Form for capital markets services licensees to provide a breakdown of their financial resources, total risk requirement and aggregate indebtedness. This form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending after 31 December 2018.
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RegulationsLast Revised Date: 08 October 2018
Securities And Futures (Financial And Margin Requirements For Holders Of Capital Markets Services Licences) Regulations
Sets out the minimum capital and financial resources, and other financial and margin requirements.
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Forms and TemplatesPublished Date: 31 December 2013
Form 5 - Auditor’s Report - For a Holder of a Capital Markets Services Licence
Form for capital markets services licensees to submit their auditor's reports on their businesses. This form must be submitted within five months from the end of the financial year.
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Forms and TemplatesPublished Date: 31 December 2013
Form 6 - Auditor’s Certification - For a Holder of a Capital Markets Services Licence
Form for capital markets services licensees to submit their auditor's certifications on their audited financial statement. This form must be submitted within five months from the end of the financial year.
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ConsultationsPublished Date: 03 April 2012
Consultation Paper On Proposed Revisions to the Regulatory Capital Framework for Holders of Capital Markets Services Licences
Proposal to enhance and align regulatory capital requirements across CMS licenses conducting different regulated activities.
- Consultation number:
- P007 - 2012
- Start date:
- 03 April 2012
- Closing date:
- 03 May 2012
- MAS response date:
- 02 April 2013
- Status:
- Responded
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Forms and TemplatesPublished Date: 20 December 2006
Form 3 - Statement relating to the Accounts of a Holder of a Capital Markets Services Licence (For Submissions Until the Quarter/Financial Year Ended 31 December 2018)
Form for capital markets services licensees to submit their audited annual profit and loss accounts to MAS. This form must be submitted within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending before or on 31 December 2018.
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Forms and TemplatesPublished Date: 20 December 2006
Form 2 - Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness (For Submissions Until the Quarter/Financial Year Ended 31 December 2018)
Form for capital markets services licensees to provide a breakdown of their financial resources, total risk requirement and aggregate indebtedness. This form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending before or on 31 December 2018.
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Forms and TemplatesPublished Date: 20 December 2006
Form 1 - Statement of Assets and Liabilities (For Submissions Until the Quarter/Financial Year Ended 31 December 2018)
Form for capital markets services licensees to provide a breakdown of their assets and liabilities. The form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending before or on 31 December 2018.
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Forms and TemplatesPublished Date: 09 June 2005
Form 7 - Statement of Aggregate Margin Exposure to Single Approved Exchange
Form for capital markets services licensees providing product financing to provide information on margin exposures to various approved exchanges. This form must be submitted within 14 days from the end of each quarter.