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.

This Compliance Toolkit aims to guide and facilitate REIT managers’ compliance with the various MAS approval and reporting requirements and timelines.

How to qualify to be a CMS licensee (other than a fund manager or REIT manager).

How to qualify to be a REIT manager and what ongoing governance and compliance arrangements are expected.

How to comply with risk based capital adequacy requirements.

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.

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

Proposed (i) revisions to the regulatory regime for fund management companies, and (ii) removal of the licensing exemption for exempt leveraged foreign exchange traders, with clarification on the exemption regime for exempt corporate finance advisers and exempt financial advisers.

Consultation number:

P008 - 2010

Start date:

27 April 2010

Closing date:

31 May 2010

MAS response date:

28 September 2010

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.

Sets out the exemptions for Trans-Pacific Credit Ptd Ltd and UOB Kay Hian Pte Ltd in relation to the ESOS Financing Scheme.

Sets out the exemptions for Phillip Financial Pte Ltd and Phillip Securities Ptd Ltd in relation to the ESOS Financing Scheme.