Showing 3434 Documents for "securities"
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- MAS
- Circulars
Last revised date:
- and Futures Act [SFA] and the Financial Advisers Act [FAA] are fit and proper.
- FIs are reminded that under section 99O of the SFA and section 23L of the FAA, the following constitutes an offence: (a) (b) a principal who, in connection with the lodgment of any document respectively under section 99H of the SFA and section 23F of the FAA, makes a false or misleading
- Some regulated activities and financial advisory services may give rise to 9 conflicts, e.g. dealing in capital markets products that are securities (execution) and corporate finance advisory.
- MAS
- Media Releases
Last revised date:
- The ban on the sale of structured notes continues for the remaining four financial institutions - CIMB-GK Securities Pte Ltd, Kim Eng Securities Pte Ltd, OCBC Securities Pte Ltd and Phillip Securities Pte Ltd - until the end of the period of their ban.
- Developed jointly with the Association of Banks in Singapore and the Securities Investors Association (Singapore), the guide explains key features of structured notes, the risks involved and what consumers should look out for when investing in such products.
- This includes Singapore, even though the measures have already been implemented here. 6 The status of the MAS' directions for the other financial institutions are as follows: DMG & Partners Securities Pte Ltd and UOB Kay Hian Pte Ltd have asked MAS for additional time to work with their external persons
- MAS
- Enforcement Actions Media Releases
Last revised date:
- Mr Soh and Ms Quah were charged on 25 November 2016 1 under the Securities and Futures Act (SFA) and the Penal Code (PC) for their elaborate and extensive scheme to manipulate the market and prices of Blumont, Asiasons and LionGold shares between August 2012 and October 2013.
- Mr Goh, who was a key accomplice of Mr Soh and Ms Quah, pleaded guilty to two charges under Section 197 of the SFA for intentionally aiding the duo to create the false appearance with respect to the market for Blumont and Asiasons shares between 18 March 2013 and 3 October 2013.
- The High Court found Mr Soh and Ms Quah guilty of the following: Mr Soh Ms Quah Section 197 of the SFA read with section 120B of the PC 10 charges 10 charges Conspiring to - (a) create a false appearance with respect to the market for Blumont, Asiasons and LionGold shares for periods between 1 August
- PDPC
- Commission's Decisions
Last revised date:
- Second, TFC did not conduct any pre-launch security testing (such as vulnerability assessments) on the Website.
- security arrangements. 11. No further directions are required as TFC had taken actions to address the gaps in its
- To discharge its Protection Obligation under section 24 of the PDPA, TFC needed to have put in place reasonable security arrangements to protect the personal data collected. 7.
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT (CHAPTER 289) FORM SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) 3 REGULATION 27(9) (a) STATEMENT RELATING TO THE ACCOUNTS OF A HOLDER OF A CAPITAL MARKETS SERVICES
- Previous year Current Year 20__ $ 20__ $ (1) Revenue (a) Brokerage and commission from: (i) Exchange traded business - Securities and units in a Collective Investment Schemes - Futures and other derivatives contracts (ii) Non-exchange traded business -
- Securities and units in a Collective Investment Schemes - Over-the-counter derivatives contracts (excluding over-the- counter derivatives contracts -------- where the underlying thing is a currency or currency index) - Spot foreign exchange contracts for the purposes of leveraged foreign
- MAS
- FAQs
Last revised date:
- A18: To determine if the IT security incident is a reportable event under the Notice, the FI must assess whether the security breach has a severe and widespread impact on its operations or materially impacts the FIs service to its customers.
- the Securities and Futures Act to act as a trustee of a collective investment scheme which is authorised under section 286 of the Securities and Futures Act and constituted as a unit trust approved clearing houses; (f) (g) recognised clearing houses which are incorporated in Singapore;
- 2 -------- A6: Any IT security incident or system malfunction with severe and widespread impact on an FIs operations, or materially impacts the FIs service to its customers, is a reportable event.
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 31 NOTICE OF CHANGE IN PARTICULARS LODGED PURSUANT TO PARAGRAPH 3(4)(c) AND/OR 3A(4)(c) OF THE SECOND SCHEDULE TO THE REGULATIONS BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES
- Please refer to the Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the SFA other than for fund managers and REIT managers) (https://www.mas.gov.sg/regulation/guidance/compliance-toolkit-for-approvals-notifications-and-other-regulatory-submissions-to-mas-sfa
- MAS
- Enforcement Actions
Last revised date:
- Market Manipulation Charges 4 Soh and Quah have each been charged with six counts of conspiring to create a false appearance with respect to the market for Blumont, Asiasons and LionGold shares, under Section 197 of the Securities and Futures Act (SFA) and Section 109 of the Penal Code (PC), for periods
- liquidity and demand for these shares by making thousands of manipulative trades in each of the three counters, and to control the supply of these shares available to the market so as to influence the price of these counters. 5 Goh has been charged with six corresponding counts under Section 197 SFA
- Soh and Quah deceived Goldman Sachs International and Interactive Brokers LLC into extending more than $170 million in margin financing to their accounts, by providing Blumont, Asiasons and LionGold shares as collateral to secure the extension of such credit, while dishonestly concealing from the FIs
- MAS
- Media Releases
Last revised date:
- Market Manipulation Charges 4 Soh and Quah have each been charged with six counts of conspiring to create a false appearance with respect to the market for Blumont, Asiasons and LionGold shares, under Section 197 of the Securities and Futures Act (SFA) and Section 109 of the Penal Code (PC), for periods
- liquidity and demand for these shares by making thousands of manipulative trades in each of the three counters, and to control the supply of these shares available to the market so as to influence the price of these counters. 5 Goh has been charged with six corresponding counts under Section 197 SFA
- Soh and Quah deceived Goldman Sachs International and Interactive Brokers LLC into extending more than $170 million in margin financing to their accounts, by providing Blumont, Asiasons and LionGold shares as collateral to secure the extension of such credit, while dishonestly concealing from the FIs
- MAS
- Media Releases
Last revised date:
- Under Section 82 of the Securities and Futures Act (SFA), a capital markets services licence is required for an entity to carry on business in a regulated activity, including dealing in CFDs in securities and foreign exchange contracts.
- MAS licenses certain online trading platforms that offer investment products that are regulated under the Securities and Futures Act (SFA). These products include shares, debentures, leveraged foreign exchange, futures and exchange-traded funds.
- Based on information gathered, the Police and MAS have assessed that the services on Arotrade’s website offered to Singapore residents, are in breach of the SFA.