Showing 3434 Documents for "securities"
Filter by
Sort by
- MAS
- Forms and Templates
Last revised date:
- A substantial shareholder is as defined in sections 2(4) to 2(6) of the SFA and section 2(1) of the FAA.
- SECURITIES AND FUTURES ACT (Cap. 289) APPLICATION FOR APPROVAL TO OBTAIN EFFECTIVE CONTROL OF A HOLDER OF A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION 97A(2) OF THE SECURITIES AND FUTURES ACT FINANCIAL ADVISERS ACT (Cap. 110) APPLICATION FOR APPROVAL TO OBTAIN EFFECTIVE CONTROL OF A LICENSED
- FINACIAL ADVISER UNDER SECTION 57A(2) OF THE FINANCIAL ADVISERS ACT Explanatory Notes For the purposes of this Form, a controller is defined as a person who has effective control of a holder of a capital markets services licence under the Securities and Futures Act (SFA) or a licensed financial adviser
- MAS
- Forms and Templates
Last revised date:
- A substantial shareholder is as defined in sections 2(4) to 2(6) of the SFA and section 2(1) of the FAA.
- SECURITIES AND FUTURES ACT (Cap. 289) APPLICATION FOR APPROVAL TO OBTAIN EFFECTIVE CONTROL OF A HOLDER OF A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION 97A(2) OF THE SECURITIES AND FUTURES ACT FINANCIAL ADVISERS ACT (Cap. 110) APPLICATION FOR APPROVAL TO OBTAIN EFFECTIVE CONTROL OF A LICENSED
- FINANCIAL ADVISER UNDER SECTION 57A(2) OF THE FINANCIAL ADVISERS ACT Explanatory Notes For the purposes of this Form, a controller is defined as a person who has effective control of a holder of a capital markets services licence under the Securities and Futures Act (SFA) or a licensed financial adviser
- MAS
- Enforcement Actions
Last revised date:
- A former representative of UBS AG, Singapore branch (UBS), he had forged documents and falsified company emails during his employment with UBS. 2 Under the POs, Mr Michele is prohibited from performing any regulated activity under the Securities and Futures Act (SFA) and providing any financial advisory
- He is also prohibited from taking part in the management, acting as a director, or becoming a substantial shareholder of any capital market and financial advisory services firm under the SFA and FAA The POs were issued under section 101A of the SFA and section 59 of the FAA. . 3 Mr Michele’s responsibilities
- MAS
- Parliamentary Replies
Last revised date:
- There have been reports abroad of bots being used to promote securities on social media platforms, which may fuel speculative trading in those securities or trading based on false information. 2.
- Depending on the circumstances, this could include measures like disabling trading accounts involved in the suspicious trades or suspending the trading of securities experiencing unexplained sharp price changes. 4.
- MAS, the Commercial Affairs Department of the Singapore Police Force and SGX Regco have previously issued public advisories 1 on the risks related to trading in securities based on discussions on social media platforms.
- MAS
- Media Releases
Last revised date:
- A former representative of UBS AG, Singapore branch (UBS), he had forged documents and falsified company emails during his employment with UBS. 2 Under the POs, Mr Michele is prohibited from performing any regulated activity under the Securities and Futures Act (SFA) and providing any financial advisory
- He is also prohibited from taking part in the management, acting as a director, or becoming a substantial shareholder of any capital market and financial advisory services firm under the SFA and FAA The POs were issued under section 101A of the SFA and section 59 of the FAA. . 3 Mr Michele’s responsibilities
- MAS
- Consultations
Last revised date:
- Furthermore, transaction alerts containing such detailed and sensitive information sent via non- secure modes of communication such as e-mail and SMS may pose an information security risk for our clients. 4.
- Duty to protect access codes and protected accounts We agree that the MAS is correct in its push for digital security. These are basic password security measures that should be upheld. Question 10. Claims investigation and outcomes.
- We propose referencing to other government agencies work in this area, for example the Cyber Security Awareness Alliance -------- Infocomm Technology co-chaired by Cyber Security Agency of Singapore and Singapore Federation.
- MAS
- Letters to Editor
Last revised date:
- A well-functioning securities market is a shared responsibility. MAS will continue to work with SGX and other stakeholders to address or mitigate any concerns associated with the implementation of various measures to create a more robust securities marketplace.
- MAS has indeed been working with SGX and various stakeholders to strengthen Singapore’s securities market. Some of these measures were mentioned by Deputy Managing Director, Mr Ong Chong Tee in an opinion editorial on 26 June 2015.
- 14 Oct 2015 The Editor Business Times Dear Editor A well-functioning securities market is a shared responsibility I refer to Mr NS Nallakaruppan’s letter “Urgent action needed to restore confidence to Singapore market” (The Business Times, 3 October 2015).
- MAS
- Media Releases
Last revised date:
- Such CCPs are regulated as either approved clearing houses or recognised clearing houses under Part III of the SFA. 1 MAS consulted on the legislative amendments to the SFA on 3 August 2012, available here . 2 The Singapore Exchange Derivatives Clearing Limited (SGX) was registered with the US Commodity
- The Singapore CCP regime was recognised by EU authorities to be comparable to the EU CCP regime since October 2014, and SGX was subsequently authorised by the European Securities and Markets Authority (ESMA) in May 2015 as a Third-Country CCP.
- The Securities and Futures Act was amended in November 2012 1 to give MAS powers to mandate the reporting of OTC derivatives to trade repositories and to require the central clearing of OTC derivatives through regulated clearing facilities acting as CCPs.
- PDPC
- Commission's Decisions
Last revised date:
- Investigations revealed that the Organisation had not implemented adequate technical security arrangements to protect the personal data in its possession or control, in particular, the Organisation did not carry out any security scans or perform updates to the server firmware
- In -------- addition, the Organisation did not put in place any documented form of IT Security policies such as its password policy, policies for patching and updating of the company server etc.
- A warning was issued to R.I.S.E Aerospace for failing to put in place reasonable security arrangements to protect the personal data of its employees from unauthorised disclosure. The incident resulted in the personal data being subjected to a ransomware attack. Click here to find out more.
- MAS
- Enforcement Actions Media Releases
Last revised date:
- Mr Tan pleaded guilty to and was convicted of a charge under section 218(3)(a) of the Securities and Futures Act (SFA) for communicating non-public and material information (insider information) concerning BIGL shares to one of his friends, and a charge under section 47(1)(c) of the Corruption, Drug
- The investigations against Mr Tan arose from a referral by the Singapore Exchange Securities Trading Limited. Mr Tan’s conviction was a result of a joint investigation conducted by the Monetary Authority of Singapore (MAS) and the Commercial Affairs Department of the Singapore Police Force.
- A remaining charge under the SFA, for communicating insider information concerning BIGL shares to another friend, was taken into consideration for the purpose of sentencing. 3. Between March and August 2016, BIGL was in discussions with Platinum Equity Advisors, LLC to sell two of its businesses.