Guidance
 Last Revised Date: 23 March 2023

Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the SFA other than for fund managers and REIT managers)

This Compliance Toolkit aims to provide guidance on:

  • Applications to be submitted for approval to MAS; and

  • Notifications and regulatory submissions to MAS.

 

This Compliance Toolkit serves as a guide to capital market services licensees (other than fund managers and REIT managers), exempt financial institutions (e.g. banks and finance companies) and other exempt entities (e.g. exempt corporate finance advisers) on the various approval and reporting requirements and timelines under the SFA and its subsidiary instruments.
Applies to: Dealing in Capital Markets Products , Product Financing , Providing Custodial Services , Corporate Finance Advisory , Credit Rating Agency , Securities Crowdfunding , Exempt Capital Markets Services Entity , Exempt Futures Broker , Exempt OTC Derivatives Broker , Exempt Corporate Finance Adviser Serving Accredited Investors
View Document Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the SFA other than for fund managers and REIT managers) (589.2 KB)