Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
Published Date: 08 October 2018
Forms and Templates
Form 33 – Annual Declaration Lodged Pursuant to Paragraph 3(X) and/or 3(Y) of the Second Schedule to the Regulations by Persons Exempted from Holding a Capital Markets Services Licence to Carry on Business in Capital Markets Products that are Futures Contracts and/or Over-the-Counter Derivatives Contracts under Paragraph 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Regulations
Form for exempt futures brokers and exempt over-the-counter (OTC) derivatives brokers to confirm on an annual basis their compliance with all exemption conditions and restrictions. This form must be submitted within 14 days from the end of the financial year.
Form 33 should be lodged by email in a single password-protected zip file to your MAS officer-in-charge, together with any accompanying attachments in machine-readable format. The password should be communicated via a different medium (e.g. telephone).