Regulations
Securities and Futures (Opportunity to be Heard) Regulations
Provides for a person to be given an opportunity to be heard by MAS and to be given at least 10 days to submit any written supporting documents as to why MAS should reconsider the decision it intends to make.
Applies to:
Dealing in Capital Markets Products
,
Product Financing
,
Providing Custodial Services
,
Corporate Finance Advisory
,
REIT Management
,
Credit Rating Agency
,
Securities Crowdfunding
,
Licensed Fund Management Company
,
Venture Capital Fund Management Company
,
Exempt Capital Markets Services Entity
,
Markets and Exchanges
,
Clearing House
,
Trade Repository
,
Holding Company of Exchange or Clearing House
,
Benchmark Administrator/Submitter
,
Members of Public
,
Foreign Fund Manager
,
Registered Business Trust
Related to this Item
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FAQsLast Revised Date: 13 September 2023
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.
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Forms and TemplatesLast Revised Date: 18 August 2023
Form 1A - Application for a Capital Markets Services Licence for Fund Management Company
Form for entities to apply to be a licensed fund management company. Entities that intend to commence business as registered fund management companies or venture capital fund managers should submit Form 22A or Form 1V respectively.
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Forms and TemplatesLast Revised Date: 18 August 2023
Form 1V - Application for a Capital Markets Services Licence for Venture Capital Fund Manager
Form for entities to apply to be a licensed venture capital fund manager (VCFM). Entities that intend to commence business as registered fund management companies or licensed fund management companies (other than as VCFMs) should submit Form 22A or Form 1A respectively.
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Forms and TemplatesLast Revised Date: 18 August 2023
Form 3A - Notification for Appointment of an Appointed Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of representatives.
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GuidelinesLast Revised Date: 06 April 2023
Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [SFA 04-G05]
How to qualify to be and conduct your business as a fund manager.
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GuidelinesLast Revised Date: 02 August 2022
Guidelines on Criteria for the Grant of a Capital Markets Services Licence Other Than for Fund Management and Real Estate Investment Trust Management [SFA 04-G01]
How to qualify to be a CMS licensee (other than a fund manager or REIT manager).
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Forms and TemplatesLast Revised Date: 28 March 2022
Form 1 - Application for a Capital Markets Services Licence (Other than for a Fund Management Company)
Form for entities (other than fund management companies to apply for a capital markets services licence to conduct regulated activities under the Securities and Futures Act. Fund management companies should submit Form 1A, 1V or 22A, depending on the type and scope of their fund management activities.
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GuidelinesLast Revised Date: 20 December 2021
Guidelines to All Holders of a Capital Markets Services Licence for Real Estate Investment Trust Management [SFA 04-G07]
How to qualify to be a REIT manager and what ongoing governance and compliance arrangements are expected.
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GuidelinesLast Revised Date: 08 October 2021
Guidelines on Licence Applications, Representative Notification and Payment of Fees [CMG-G01]
Guidelines on procedures to apply for a Capital Markets Services or Financial Advisory licence, appoint representatives and pay fees.
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Forms and TemplatesLast Revised Date: 12 May 2021
Form 5 - Application for Additional Regulated Activity under a Capital Markets Services Licence
Form for capital markets services licensees to apply for additional type(s) of regulated activity/activities.
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Forms and TemplatesPublished Date: 08 October 2018
Form 6 - Notification to Add Activity/Activities of a Representative
Form for capital markets services (CMS) licensees, banks, merchant banks, finance companies and insurers to notify MAS before an appointed representative adds other type(s) of regulated activity or activities.
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Forms and TemplatesPublished Date: 08 October 2018
Form 3C - Notification for Appointment of a Temporary Representative
Form for capital markets services (CMS) licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of temporary representatives who reside outside Singapore but plan to conduct activities in Singapore for a limited period of time.
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Forms and TemplatesLast Revised Date: 08 October 2018
Form 3D - Notification of the Completion of Examination Requirements by a Provisional Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the completion of the examination requirements by a provisional representative.
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Forms and TemplatesLast Revised Date: 08 October 2018
Form 3B - Notification for Appointment of a Provisional Representative
Form for licensed financial advisers and exempt financial advisers to notify MAS of the appointment of provisional representatives.
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RegulationsLast 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.