Guidelines
Last Revised Date: 23 October 2018

Guidelines on Applications for Approval of Arrangements under Paragraph 9 of the Third Schedule to the Securities and Futures Act [SFA 04-G03]

Guidelines on how to qualify for and apply to have foreign related corporations to carry out regulated activities under the Securities and Futures Act.

These guidelines apply to:

  • Capital markets services licensees.
  • Banks, merchant banks, finance companies and insurers conducting regulated activities under the Securities and Futures Act.
They set out the assessment criteria and information to be submitted when applying for approval for cross-border business arrangements with foreign related corporations.

Additional information:

Amendment Notes

23 Oct 2018
SFA 04-G03 (Amendment) 2018 takes effect.
16 Jul 2003
Previous version last issued on 16 Jul 2003 [Cancelled]