Showing 590 Documents for "CMS"
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- MAS
- Consultations
Last revised date:
- MIS welcomes MAS proposal to streamline the RNF to exempt representatives of Capital Markets Services (CMS) licensees who only serve non-retail customers from the notification requirements under the RNF.
- Would the 9 hours structured training be applicable for the non-notified representatives of a CMS licensed fund manager?
- The existing Notice of Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services Licence Holders of Capital Markets Services Licence and Exempt Financial Institutions (SFA 04-N09) stated if the gap between the cessation and next appointment is less than
- MAS
- Speeches
Last revised date:
- markets services licence for fund management under section 86 of the Securities and Futures Act (Cap. 289)), a registered fund management company (i.e. a corporation exempted from holding a capital markets services licence under paragraph 5(1)(i) of the Second Schedule to the Securities and Futures
- (Licensing and Conduct of Business) Regulations) or a person exempted under the Section 99(1)(a), (b), (c), or (d) of the Securities and Futures Act (Cap. 289) from the requirement to hold a capital markets services licence to carry on business in fund management (i.e. a bank licensed under the Banking
- and in line with market practice, the price of such share purchases must be in accordance with the applicable listing requirements and need not to be priced at net asset value. 2 Generally, a VCC will have to be managed by a fund manager which is a licensed fund management company (i.e. a holder of a capital
- MAS
- Forms and Templates
Last revised date:
- MASNET is a closed communication network system operated by the Authority which a capital markets services licensee or a financial institution exempt from holding CMS Licence under section 99(1)(a), (b), (c) or (d) of the SFA needs to subscribe to for the purpose of lodging the form. 1. 2. 3.
- Form for capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the cessation of a representative in any or all regulated activities, by the next business day.
- MAS
- FAQs
Last revised date:
- This will help to reduce regulatory barriers to capital markets professionals providing their services in both countries. 3 A Singapore representative, regardless whether he acts for a holder of a capital markets services licence, holder of a finance advisers licence, or exempt financial
- Please refer to the Notice on Minimum Entry and Examination Requirements for Representatives of Holders of a Capital Markets Services Licence and Exempt Financial Institutions and Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial
- No, only a representative who is authorized in Singapore to deal in securities, market CIS and/or provide advice in respect of securities and CIS with a holder of a capital markets service licence, holder of a financial advisers licence, or exempt financial institution, and who has passed either CMFAS
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 30 NOTICE OF COMMENCEMENT OF BUSINESS 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
- For the purposes of this Form exempt person refers to a person exempt from holding a capital markets services licence under paragraph 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (the Regulations); key officer, in relation
- CONTRACTS AND/OR OVER-THE-COUNTER DERIVATIVES CONTRACTS UNDER PARAGRAPH 3(1)(d) AND/OR 3A(1)(d) OF THE SECOND SCHEDULE TO THE REGULATIONS NOTICE OF COMMENCEMENT OF BUSINESS 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
- MAS
- Forms and Templates
Last revised date:
- 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
- , Registration and Conduct of Business for Fund Management Companies (SFA04-G05) Guidelines to All Key Holders of a Capital Markets Services Licence for Real Estate Investment Trust Management (SFA04-G07) Guidelines on Criteria for the Grant of a Financial Advisers Licence (FAA-G01).
- 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:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 22 NOTICE OF COMMENCEMENT OF BUSINESS LODGED PURSUANT TO PARAGRAPH 7(6)(a) OF THE SECOND SCHEDULE TO THE REGULATIONS BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE TO
- CARRY ON BUSINESS IN ADVISING ON CORPORATE FINANCE UNDER PARAGRAPH 7(1)(b) OF THE SECOND SCHEDULE TO THE REGULATIONS NOTICE OF COMMENCEMENT OF BUSINESS LODGED PURSUANT TO PARAGRAPH 7(6)(a) OF THE SECOND SCHEDULE TO THE REGULATIONS BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE
- TO CARRY ON BUSINESS IN ADVISING ON CORPORATE FINANCE UNDER PARAGRAPH 7(1)(b) OF THE SECOND SCHEDULE TO THE REGULATIONS Explanatory Notes Explanatory Notes For the purposes of this Form exempt person refers to a person exempt from holding a capital markets services licence under paragraph 7(1)(
- MAS
- Exemptions
Last revised date:
- Sets out exemption for Citibank Aktiengesellschaft and other persons (e.g. remote clearing members) from the requirement to hold a capital markets services licence for dealing in capital markets products, subject to conditions. 08 Oct 2018 Securities and Futures (Exemption from Requirement to Hold Capital
- MAS
- FAQs
Last revised date:
- Persons exempt from holding a trust business licence include: (a) (b) (c) (d) (e) (f) (g) (h) Banks and merchant banks regulated by MAS; Holders of a capital markets services licence, or persons who are exempt from holding a capital markets services licence for providing fund
- MAS
- Media Releases
Last revised date:
- Singapore, 12 December 2019… The Monetary Authority of Singapore (MAS) today announced that it has revoked the Capital Markets Services (CMS) Licence of CT Bright Investment Pte. Ltd. (CTBI) with effect from 9 December 2019, due to numerous breaches of MAS’ rules and licence conditions.