This set of FAQs aims to guide and assist capital markets services licensees in complying with the risk based capital adequacy requirements under the Securities and Futures (Financial and Margin Requirements) Regulations and the Notice on Risk Based Capital Adequacy Requirements for Holders of Capital Markets Services Licences.

Provides guidance on the requirements and procedures relating to the lodgement of financial returns by capital markets services licensees.

Form for capital markets services licensees to provide a breakdown of their financial resources, total risk requirement and aggregate indebtedness. This form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending after 31 December 2018.

Form for capital markets services licensees to provide a breakdown of their assets and liabilities. This form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending after 31 December 2018.

Form for capital markets services licensees to submit their audited annual profit and loss accounts to MAS. This form must be submitted within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending after 31 December 2018.

Form for capital markets services licensees providing product financing to provide information on their exposures to specified products. This form must be submitted within 14 days from the end of each quarter.

Form for capital markets services licensees to submit supplementary information on their annual balance sheet and profit and loss accounts. This form must be submitted within five months from the end of the financial year.

Form for capital markets services licensees providing product financing to provide information on their exposures to margin customers. This form must be submitted within 14 days from the end of each quarter.

Sets out the minimum capital and financial resources, and other financial and margin requirements.

Consultation on proposed (i) new Notice and Guidelines on Risk Fact Sheet for Contracts for Differences; (ii) amendments to Notice on Risk-Based Capital Adequacy Requirements; (iii) amendments to Notices relating to the lending of Singapore dollar to non-resident financial institutions; and (iv) new guidelines on statutory definition of common investors pertaining to insider trading.

Consultation number:

P018 - 2017

Start date:

06 October 2017

Closing date:

03 November 2017

MAS response date:

01 October 2018

Proposal to enhance and align regulatory capital requirements across CMS licenses conducting different regulated activities.

Consultation number:

P007 - 2012

Start date:

03 April 2012

Closing date:

03 May 2012

MAS response date:

02 April 2013

Specifies how counterparty risk requirements should be computed for specified structured warrants. The guidelines are not applicable to capital computations after 3 April 2015 and financial returns after 1 July 2015.

Specify the qualifying deposits from certain entities which are carved out from the computation of counterparty exposure. The guidelines are not applicable to capital computations after 3 April 2015 and financial returns after 1 July 2015.

Form for capital markets services licensees to submit their audited annual profit and loss accounts to MAS. This form must be submitted within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending before or on 31 December 2018.

Form for capital markets services licensees to provide a breakdown of their financial resources, total risk requirement and aggregate indebtedness. This form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending before or on 31 December 2018.

Form for capital markets services licensees to provide a breakdown of their assets and liabilities. The form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending before or on 31 December 2018.

Form for capital markets services licensees providing product financing to provide information on margin exposures to various approved exchanges. This form must be submitted within 14 days from the end of each quarter.