Showing 3434 Documents for "securities"
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- MAS
- Notices
Last revised date:
- and Futures (Licensing and Conduct of Business) Regulations [Registered Fund Management Companies]; (c) persons who are approved under section 289 of the Act to act as a trustee of a collective investment scheme which is authorised under section 286 of the Securities and Futures Act
- . -------- : CMG-N01 : 23 January 2013 [Last revised on 5 October 20186 March 2014] Notice No Issue Date NOTICE ON REPORTING OF SUSPICIOUS ACTIVITIES & INCIDENTS OF FRAUD INTRODUCTION 1.1 This Notice is issued pursuant to sections 4645, 46ZK, 81R, 101 and 293 of the Securities
- CMG-N01 under the Securities and Futures Act (Cap. 289) 1 Identification details of reporting financial institution Reporting FI: Reporting Officer: (CEO / Principal Officer / Director) Designation: Contact Officer: (if different from Reporting Officer) Designation: Telephone
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) REGULATION 27(1)(b) AND 9(b) STATEMENT OF FINANCIAL RESOURCES, TOTAL RISK REQUIREMENT AND AGGREGATE INDEBTEDNESS
- and Futures Act (Cap. 289) and the requirements as may be prescribed or specified by the Authority, in particular, regulation 27(4) of the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations (Rg 13); and (
- from dealing in capital (e) amount payable to customers in connection with assets or moneys received on account of the customers arising from dealing in capital markets products other than futures contracts and maintained in trust accounts (f) any liabilities fully secured
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 29 NOTICE OF CESSATION OF BUSINESS / ANY REGULATED ACTIVITY(S) PURSUANT TO REGULATION 14(4) BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION 99(1)
- For the purposes of this Form exempt person refers to a person exempt from holding a capital markets services licence under section 99(1)(a), (b), (c), or (d) of the Securities and Futures Act (Cap. 289) (the Act) ; key officer, in relation to an exempt person, means: a director or equivalent person
- The exempt person will cease to carry on the following of its activities: Dealing in Capital Markets Products that are: Securities Units in a collective investment scheme Exchange-traded derivatives contracts Over-the-counter derivatives contracts Spot foreign exchange contracts for the
- MAS
- Circulars
Last revised date:
- of listed securities on unsecured credit by investors.
- cash, liquid securities), where appropriate (e.g.
- Monetary Authority of Singapore 10 Shenton Way MAS Building Singapore 079117 Telephone 65 6225 5577 Facsimile 65 6229 9229 Circular No: CMI 04/2020 18 February 2020 To: All holders of a capital markets services licence to deal in capital markets products that are securities
- MAS
- Exemptions
Last revised date:
- View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 Oct 2013 to 31 December 2013. 1 Issue Date: 15 May 2014 EXEMPTIONS ISSUED PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 Oct 2013
- to 31 December 2013 S/N Exemption granted Exemption provision No. of exemptions provided 2 Date of exemption granted 1 November 2013 Description Section 81U(4) of the SFA.
- MAS
- Exemptions
Last revised date:
- View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 October 2017 to 31 December 2018.
- Issue Date: 31 Jan 2019 EXEMPTIONS ISSUED PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 October 2018 to 31 December 2018 S/N Exemption granted Exemption provision 1 Exemption for an Approved Clearing House (ACH) Regulations
- 23(1)(a), 23(1)(b), 23(2), 23(3), 23(4), 28(1) and 28(2) of the Securities and Futures (Clearing Facilities) Regulations 2013 Description No. of exemptions provided Date of exemption granted 1 7 December 2018 The change in an ACHs settlement framework resulted in customer
- MAS
- Speeches
Last revised date:
- The amendments in the Financial Advisers (Amendment) Bill 2008 are similar in part to the Securities and Futures (Amendment) Bill 2008.
- The Financial Advisers (Amendment) Bill 2008 Mr Speaker Sir, on behalf of the Senior Minister, I beg to move, "That the Bill be now read a second time". 2 The House has just debated on the Securities and Futures (Amendment) Bill 2008.
- It has the same objectives of enabling MAS to respond more quickly to new market developments, and enhancing the supervisory and enforcement powers of MAS. 3 Key amendments that have been made in the Securities and Futures (Amendment) Bill 2008 which will be replicated in the Financial Advisers (Amendment
- PDPC
- Help & Resources
Last revised date:
- All identity mapping tables are to be securely destroyed.
- The identity mapping table (illustrated below) should be kept securely as it permits re-identification.
- The security of any key used must be ensured like with any other type of encryption or reversible process17.
- PDPC
- Help & Resources
Last revised date:
- All identity mapping tables are to be securely destroyed.
- The identity mapping table (illustrated below) should be kept securely as it permits re-identification.
- The security of any key used must be ensured like with any other type of encryption or reversible process17.
- MAS
- Enforcement Actions
Last revised date:
- and Futures Act (SFA).
- He is also prohibited from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under the SFA.
- Authority of Singapore (MAS) has issued a 10-year prohibition order against Mr Ahmadnawar Bin Abd Karim, following his conviction in the State Courts for conducting regulated activities without a licence and cheating. 2 Mr Ahmadnawar is prohibited from performing any regulated activity under the Securities