FAQs
FAQs on Prohibited Representations by Exempt Persons under the 2nd Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations
Provides guidance on the representations which exempt corporate finance advisers, exempt futures brokers and exempt OTC derivatives brokers are not allowed to provide.
Related to this Item
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FAQsLast Revised Date: 23 March 2023
FAQs on Exempt Persons
Provides guidance on regulatory requirements that an exempt financial adviser serving up to not more than 30 accredited investors or an exempt corporate finance adviser is expected to comply with, including criteria for exemption, form for lodgement as an exempt person and ongoing regulatory requirements.
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RegulationsLast Revised Date: 08 October 2018
Securities and Futures (Licensing And Conduct Of Business) Regulations
Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
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NoticesLast Revised Date: 05 October 2018
Notice SFA 04-N07 Prohibited Representations Made by Exempt Persons Under the 2nd Schedule to the Securities & Futures (Licensing & Conduct of Business) Regulations
Stipulates the prohibited representations by exempt persons.
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ConsultationsPublished Date: 14 March 2014
Consultation Paper on Draft Regulations to Enhance the Regulatory Framework for Unlisted Margined Derivatives Offered to Retail Investors
Proposed legislative amendments to effect the proposals set out in the May 2012 Consultation Paper on Review of Regulatory Framework for Unlisted Margined Derivatives Offered to Retail Investors and MAS response to the feedback from the industry.
- Consultation number:
- P002-2014
- Start date:
- 14 March 2014
- Closing date:
- 14 April 2014
- MAS response date:
- 26 May 2017
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ConsultationsPublished Date: 28 May 2012
Consultation Paper On Review of Regulatory Framework for Unlisted Margined Derivatives Offered to Retail Investors
Proposed enhancements to the requirements for OTCD margined derivatives such as contracts for differences and leveraged foreign exchange contracts, offered to retail investors. Enhancements included higher margins and disclosures to investors.
- Consultation number:
- P010 - 2012
- Start date:
- 28 May 2012
- Closing date:
- 02 July 2012
- MAS response date:
- 14 March 2014
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ConsultationsPublished Date: 27 April 2010
Review of the Regulatory Regime for Fund Management Companies and Exempt Financial Intermediaries
Proposed (i) revisions to the regulatory regime for fund management companies, and (ii) removal of the licensing exemption for exempt leveraged foreign exchange traders, with clarification on the exemption regime for exempt corporate finance advisers and exempt financial advisers.
- Consultation number:
- P008 - 2010
- Start date:
- 27 April 2010
- Closing date:
- 31 May 2010
- MAS response date:
- 28 September 2010
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ConsultationsPublished Date: 16 June 2009
Policy Consultation on Amendments to the Securities and Futures (Licensing and Conduct of Business) Regulations and the Financial Advisers Regulations
Proposed revisions to both sets of regulations, in respect of registers of interests in securities, definition of customer assets, exemptions for dealing activities and maximum penalty under the general penalty provision. The paper also clarifies the types of forms to be maintained under these regulations.
- Consultation number:
- P007 - 2009
- Start date:
- 16 June 2009
- Closing date:
- 15 July 2009
- MAS response date:
- 19 October 2010
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ConsultationsPublished Date: 20 March 2003
Consultation Paper on Granting of Temporary Capital Markets Services Representative's Licence
Proposed criteria for granting temporary licence to individuals residing outside Singapore who plan to conduct regulated activities in Singapore for a limited period of time.
- Consultation number:
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- Start date:
- 20 March 2003
- Closing date:
- 19 April 2003