Showing 590 Documents for "CMS"
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- Exemptions
Last revised date:
- Markets Services (CMS) licence for fund management MAS granted exemptions to 14 single family offices (SFOs) that provided fund management services to their respective sponsors.
- September 2019 S/N Exemption granted Exemption provision No. of exemptions provided Date of exemption granted Description 14 Section 99(1)(h) of the SFA, read with section 337(2) of the SFA 15 July, 7 August, 27 September 2019 Exemption from requirement to hold a Capital
- MAS
- Enforcement Actions
Last revised date:
- Lau”), an appointed representative with RHB Securities Singapore Pte Ltd (“RHB”), which prohibits Mr Lau from: (a) conducting business in any regulated activity under the Securities and Futures Act (Cap. 289) (“SFA”); and (b) taking part in the management of any holder of a capital
- market services licence or any person exempt from holding a capital market services licence under section 99(1) of the SFA, for a period of two (2) years with effect from 7 September 2015. 2 MAS has reason to believe that: (a) Mr Lau traded for his own benefit in a former client
- MAS
- Enforcement Actions
Last revised date:
- 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.
- Mr Ahmadnawar carried out these fund management activities without holding a capital markets services licence. On multiple occassions over the same period, Mr Ahmadnawar cheated two investors of a total amount of $132,810.
- MAS
- Exemptions
Last revised date:
- Markets Services (CMS) licence for fund management MAS granted exemptions to 17 single family offices (SFOs) that provided fund management services to their respective sponsors.
- September 2020 S/N Exemption granted Exemption provision No. of exemptions provided Date of exemption granted Description 17 Section 99(1)(h) of the SFA, read with section 337(2) of the SFA 17 Jul, 30 Jul, 17 Aug, 26 Aug, 24 Sep Exemption from requirement to hold a Capital
- MAS
- Exemptions
Last revised date:
- Markets Services (CMS) licence for fund management 22 Section 99(1)(h) of the SFA, read with section 337(2) of the SFA 7 Jul, 9 Jul, 22 Jul, 9 Sep, 10 Sep.
- PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 July 2021 to 30 September 2021 S/N Exemption granted Exemption provision No. of exemptions provided Date of exemption granted Description 1 Exemption from requirement to hold a Capital
- MAS
- Exemptions
Last revised date:
- Markets Services (CMS) licence for fund management 19 February 2019 MAS granted exemptions to 9 single family offices (SFOs) that provided fund management services to their respective sponsors.
- For the period from 1 January 2019 to 31 March 2019 S/N Exemption granted Exemption provision No. of exemptions provided Date of exemption granted Description 9 Section 99(1)(h) of the SFA, read with section 337(2) of the SFA 1 Exemption from requirement to hold a Capital
- MAS
- Media Releases
Last revised date:
- All three individuals are prohibited from (i) providing any capital markets and financial advisory services; and (ii) taking part in the management of, acting as a director of, or becoming a substantial shareholder of any capital markets services or financial advisory firm in Singapore.
- The proposed POs will prohibit: (a) Mr Ang, for a period of 6 years, from (i) providing any capital markets and financial advisory services; and (ii) taking part in the management of, acting as a director of, or becoming a substantial shareholder of any capital market services and financial advisory
- prohibiting them from: (i) performing any regulated activity under the Securities and Futures Act (SFA) and/or the Financial Advisers Act (FAA); and (ii) taking part, directly or indirectly, in the management of, acting as a director of, or becoming a substantial shareholder of, any capital
- MAS
- Consultations
Last revised date:
- D End-Users 5.15 Respondents agreed with the proposal not to regulate end-users as CMS licensees.
- Question 34: MAS seeks views on the proposal not to regulate end- users as CMS licensees under the SFA.
- MAS will separately consult on the admission criteria for the granting of a CMS licence in respect of dealing in derivative contracts.
- MAS
- Notices
Last revised date:
- from having to hold a capital markets services licence.
- ) Regulations (Rg.10, 2004 Ed.) from having to hold a capital markets services licence.
- Holders of a capital markets services licence under section 82 of the Securities and Futures Act (Cap. 289). 6.
- MAS
- Enforcement Actions
Last revised date:
- They were representatives of Capital Markets Services Licence holders when they committed the offences.
- They are also prohibited from taking part in the management, acting as a director or becoming a substantial shareholder of any capital markets services firm under the SFA The POs against the three individuals were issued under Section 101A(1)(e) of the SFA. . 3 The three individuals had engaged in