Form 1 - Application for a Capital Markets Services Licence (Other than for a Fund Management Company)
Form for entities (other than fund management companies) to apply for a capital markets services licence to conduct regulated activities under the Securities and Futures Act. Fund management companies should submit Form 1A, 1V or 22A, depending the type and scope of their fund management activities.
New corporations should submit Form 1 to webmaster@mas.gov.sg in a single password-protected zip file together with any accompanying attachments in machine-readable format. An MAS officer will contact you for the password.
Provides guidance on
• the scope of capital markets services licensing (other than for fund management companies)
• appointment of representatives
• business conduct rules
• the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of representatives.
Form for capital markets services licensees, other than licensed fund management companies, to apply for the appointment of a Chief Executive Officer or director; or the change in nature of director appointment from non-executive to executive.
Provides for a person to be given an opportunity to be heard by MAS and to be given at least 10 days to submit any written supporting documents as to why MAS should reconsider the decision it intends to make.