Showing 3434 Documents for "securities"
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- MAS
- Enforcement Actions
Last revised date:
- The Minister will take into consideration this report in making his final decision. 1 Under section 101A(5) of the SFA and section 59(4) of the FAA 2 Under section 310 of the SFA and section 91 of the FAA 3 This procedure is set out in the Securities and Futures (Appeals) Regulations 2005 and the Financial
- The orders prohibit him from performing any regulated activity under the Securities and Futures Act (SFA) and any financial advisory service under the FAA, as well as from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under
- the SFA and any financial advisory firm under the FAA. 3 MAS had issued the prohibition orders on the grounds that Mr Lim (i) has not honestly carried on business in the type of regulated activity for which he had been appointed, and (ii) is not a fit and proper person to be appointed to carry such
- MAS
- Media Releases
Last revised date:
- The Minister will take into consideration this report in making his final decision. 1 Under section 101A(5) of the SFA and section 59(4) of the FAA 2 Under section 310 of the SFA and section 91 of the FAA 3 This procedure is set out in the Securities and Futures (Appeals) Regulations 2005 and the Financial
- The orders prohibit him from performing any regulated activity under the Securities and Futures Act (SFA) and any financial advisory service under the FAA, as well as from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under
- the SFA and any financial advisory firm under the FAA. 3 MAS had issued the prohibition orders on the grounds that Mr Lim (i) has not honestly carried on business in the type of regulated activity for which he had been appointed, and (ii) is not a fit and proper person to be appointed to carry such
- MAS
- Forms and Templates
Last revised date:
- Form FC: Notification for Change in Particulars SECURITIES AND FUTURES ACT 2001 FINANCIAL ADVISERS ACT 2001 FORM FC NOTIFICATION FOR CHANGE IN PARTICULARS TO ARRANGEMENTS WITH FOREIGN RELATED CORPORATIONS UNDER THE SECURITIES AND FUTURES (EXEMPTION FOR CROSS-BORDER ARRANGEMENTS
- Form for specified capital markets services licensees (“CMSLs”), specified exempt CMSLs, licensed financial advisers and specified exempt financial advisers to notify MAS of their change in particulars to cross-border arrangements notified under the following Exemption Regulations: - Securities and Futures
- (Exemption for Cross-Border Arrangements) (Foreign Related Corporations) Regulations 2021; - Financial Advisers (Exemption for Cross-Border Arrangements) (Foreign Related Corporations) Regulations 2021; - Securities and Futures (Exemption for Cross-Border Arrangements) (Foreign Offices) Regulations
- MAS
- Consultations
Last revised date:
- security 514.
- AFS equity securities as Tier 2 Capital (i.e.
- 2 of the Securities and Futures Act (Cap. 289); means (a) any entity holding a capital markets services licence under section 84(1) of the Securities and Futures Act (Cap. 289); or securities exchange securities firm securitisation securitisation exposure securitised
- PDPC
Last revised date:
- For example, the notice could state that “in-vehicle video and/or audio recording is in operation for security and safety purposes”.
- Andy wishes to collect, use and disclose in-vehicle recordings for safety and security purposes, but he does not intend to place IVRD notices within the limousine.
- Each Leasing Company, Hirer and Service Provider should consider adopting security arrangements that are reasonable and appropriate in the circumstances.
- MAS
- Forms and Templates
Last revised date:
- These include (but are not limited to): Part II and the First Schedule of the Securities and Futures Act; and Securities and Futures (Organised Markets) Regulations 2018; Securities and Futures (Prescribed Excluded Derivatives Contracts) Regulations 2018; and Read the Guidelines on the Regulation of
- Q13: Please set out with supporting documents or information how the applicant will comply with each of the applicable requirement of the Securities and Futures Act and the Securities and Futures (Organised Markets) Regulations 2018.* (Please add/delete rows where necessary.)
- Markets (SFA 02-G01) These should help you determine whether you require a licence for your proposed business, and the requirements that pertain to such a business model.
- MAS
- Forms and Templates
Last revised date:
- These include (but are not limited to): Part II and the First Schedule of the Securities and Futures Act; and Securities and Futures (Organised Markets) Regulations 2018; Securities and Futures (Prescribed Excluded Derivatives Contracts) Regulations 2018; and Read the Guidelines on the Regulation of
- Q13: Please set out with supporting documents or information how the applicant will comply with each of the applicable requirement of the Securities and Futures Act and the Securities and Futures (Organised Markets) Regulations 2018.* (Please add/delete rows where necessary.)
- Markets (SFA 02-G01) These should help you determine whether you require a licence for your proposed business, and the requirements that pertain to such a business model.
- PDPC
- Sector-specific Advisory Guidelines
Last revised date:
- For example, the notice could state that in-vehicle video and/or audio recording is in operation for security and safety purposes.
- Andy wishes to collect, use and disclose in-vehicle recordings for safety and security purposes, but he does not intend to place IVRD notices within the limousine.
- Each Leasing Company, Hirer and Service Provider should consider adopting security arrangements that are reasonable and appropriate in the circumstances.
- MAS
- Consultations
Last revised date:
- and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018 (G.N.
- Futures (Offers of Investments) (Collective Investment Schemes) Regulations 2005 and its Ninth Schedule, Securities and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018 and its Twenty First Schedule.
- (9) In this regulation, overseas futures exchange and overseas securities exchange have the same meanings as in section 2(1) of the Securities and Futures Act (Cap. 289).
- MAS
- Speeches
Last revised date:
- The International Organisation of Securities Commissions (IOSCO) has since mandated that exchanges have in place mechanisms to manage extreme volatility.
- Defending Against Systemic Cyber Risk The third theme that stands out in the history of financial regulation over the last two decades is cyber security.
- First, the FSB’s Cyber Security Standards, building on its Cyber Lexicon of 2018, established a minimum level of cyber hygiene for internationally active financial institutions.