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    1. Home
    2. Regulation
    3. Regulations
    4. Securities and Futures (Classes of Investors) Regulations 2018
    Regulations
    Last Revised Date: 03 December 2021

    Securities and Futures (Classes of Investors) Regulations 2018

    Prescribes additional persons as accredited investors (e.g. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for the purpose of the SFA.
    • Licensing, Authorisation and Registration
    • Exemptions
    • Offers of Collective Investment Schemes
    • Offers of Securities or Securities-Based Derivatives Contracts
    Applies to: Dealing in Capital Markets Products , Product Financing , Providing Custodial Services , Corporate Finance Advisory , Licensed Fund Management Company , Registered Fund Management Company , REIT Management , Venture Capital Fund Management Company , Credit Rating Agency , Securities Crowdfunding , Exempt Capital Markets Services Entity , Exempt Corporate Finance Adviser Serving Accredited Investors , Exempt Futures Broker , Exempt OTC Derivatives Broker , Markets and Exchanges , Clearing House , Members of Public , Foreign Fund Manager , Registered Business Trust
    View Document Securities and Futures (Classes of Investors) Regulations 2018

    Amendment Notes

    03 Jan 2022
    Securities and Futures (Classes of Investors) (Amendment) Regulations 2021 (41.8 KB)
    07 Jan 2019
    Securities and Futures (Classes of Investors) (Amendment) Regulations 2019
    07 Jan 2019
    Securities and Futures (Classes of Investors) (Amendment No. 2) Regulations 2019

    Related to this Item

    • FAQs
      Last Revised Date: 18 July 2022

      FAQs on Licensing and Business Conduct (Other than for Fund Management Companies)

      Provides guidance on • the scope of capital markets services licensing (other than for fund management companies) • appointment of representatives • business conduct rules • the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.

      Licensing, Authorisation and Registration Customer Monies and Assets Segregation
    • Regulations
      Last Revised Date: 01 June 2022

      Financial Advisers (Complaints Handling and Resolution) Regulations 2021

      Sets out requirements for financial advisory firms to exercise management oversight and establish policies and procedures for handling and resolving complaints independently and promptly.

      Advisory and Sales Representative-related Declarations Insurer-related Reports Complaints Handling Disclosures Record Keeping
    • Regulations
      Last Revised Date: 08 October 2018

      Securities and Futures (Licensing And Conduct Of Business) Regulations

      Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.

      Licensing, Authorisation and Registration Representative-related Disclosures Record Keeping Customer Monies and Assets Segregation Advisory and Sales Key Appointments Corporate Governance Fit and Proper Criteria Appointment of Auditors Notifications Declarations Financial Returns Security Deposit and PII Exemptions

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