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  1. Home
  2. Regulation
  3. Regulations
  4. Securities and Futures (Opportunity to be Heard) Regulations
Regulations
Published Date: 23 May 2002

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.
  • Licensing, Authorisation and Registration
  • Representative-related
  • Key Appointments
  • Offers of Securities or Securities-Based Derivatives Contracts
  • Offers of Collective Investment Schemes
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
View Document Securities and Futures (Opportunity to be Heard) Regulations

Related to this Item

  • FAQs
    Last 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.

    Licensing, Authorisation and Registration Customer Monies and Assets Segregation
  • Forms and Templates
    Last 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.

    Licensing, Authorisation and Registration
  • Forms and Templates
    Last 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.

    Licensing, Authorisation and Registration
  • Forms and Templates
    Last 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.

    Licensing, Authorisation and Registration Representative-related Notifications
  • Guidelines
    Last 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.

    Fit and Proper Criteria Key Appointments Capital and Financial Resources Security Deposit and PII Disclosures Investment Management Licensing, Authorisation and Registration
  • Guidelines
    Last 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).

    Fit and Proper Criteria Key Appointments Capital and Financial Resources Security Deposit and PII Licensing, Authorisation and Registration
  • Forms and Templates
    Last 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.

    Licensing, Authorisation and Registration
  • Guidelines
    Last 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.

    Corporate Governance Fit and Proper Criteria Key Appointments Capital and Financial Resources Disclosures Remuneration Licensing, Authorisation and Registration
  • Guidelines
    Last 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.

    Representative-related Licensing, Authorisation and Registration
  • Forms and Templates
    Last 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.

    Representative-related
  • Forms and Templates
    Published 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.

    Notifications Representative-related
  • Forms and Templates
    Published 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.

    Licensing, Authorisation and Registration Representative-related
  • Forms and Templates
    Last 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.

    Licensing, Authorisation and Registration Representative-related Notifications
  • Forms and Templates
    Last 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.

    Licensing, Authorisation and Registration Representative-related Notifications
  • 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

Monetary Authority of Singapore

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© 2023, Government of Singapore.Last updated on 23 May 2019