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Guidelines
 Last Revised Date: 30 June 2025

Guidelines to Notice SFA 04-N02 on Prevention of Money Laundering and Countering the Financing of Terrorism - Capital Markets Intermediaries

Guidelines for capital markets intermediaries on Notice SFA04-N02 on the prevention of money laundering and countering the financing of terrorism.
Applies to: Dealing in Capital Markets Products , Product Financing , Licensed Fund Management Company , Corporate Finance Advisory , REIT Management , Registered Fund Management Company , Credit Rating Agency , Securities Crowdfunding , Venture Capital Fund Management Company , Exempt Futures Broker , Exempt OTC Derivatives Broker , Providing Custodial Services , Exempt Corporate Finance Adviser Serving Accredited Investors
View Document Guidelines to Notice SFA 04-N02 on Prevention of Money Laundering and Countering the Financing of Terrorism - Capital Markets Intermediaries (660 KB)

These guidelines provide guidance to capital markets intermediaries on the requirements in Notice SFA 04-N02 to Capital Markets Intermediaries on Prevention of Money Laundering and Countering the Financing of Terrorism. They should be read in conjunction with the notice.

Amendment Notes