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- MAS
- FAQs
Last revised date:
- For the purpose of this Notice, exempt persons refer to persons exempted from holding a capital markets services [CMS] licence under paragraphs 3(1)(d), 3A(1)(d) and 7(1)(b) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations
- MAS
- Enforcement Actions Media Releases
Last revised date:
- He was sentenced to 33 months imprisonment. 5 Mr Loh’s actions have given MAS reason to believe that he will not perform financial advisory and capital markets services honestly.
- the management of, acting as a director of, or becoming a substantial shareholder of any financial advisory firm under the Financial Advisers Act 2001; and (ii) performing any regulated activity or from taking part in the management, acting as a director, or becoming a substantial shareholder of any capital
- MAS
- Media Releases
Last revised date:
- set out in paragraph 47 of the Guidelines. 2 The activities of passing of trade orders and portfolio re-balancing are deemed dealing in capital markets products and conducting fund management activities respectively under the SFA, and would ordinarily require the providers of such services to hold a capital
- suitable for the digital advisers’ product offerings. 1 c) Digital advisers that operate as financial advisers will be allowed to pass their clients’ trade orders to brokerage firms for execution, and re-balance their clients’ portfolios in collective investment schemes, without the need for an additional capital
- MAS
- Media Releases
Last revised date:
- market services licence or any person exempt from holding a capital market services licence under section 99(1) of the SFA in Singapore, for a period of two (2) years with effect from 29 January 2016. 5 This matter was referred to MAS by Singapore Exchange Securities Trading Limited.
- issued a prohibition order to Mr Wong pursuant to section 101A of the SFA, prohibiting him from (i) conducting business in any regulated activity under the SFA or acting as a representative in respect of any regulated activity under the SFA; and (ii) taking part in the management of any holder of a capital
- 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 and any financial advisory firm under the FAA. 4 Between January 2011 and June 2013, Mr Lu used the OCBC accounts of a friend to place
- 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 and any financial advisory firm under the FAA. 8 Mr Tan’s friend, a customer of UOB, had entrusted her UOB bank accounts, internet banking
- MAS
- Enforcement Actions Media Releases
Last revised date:
- Singapore, 15 July 2022… Ms Lee Ying Hui (Lee) was today convicted and fined $20,000 for carrying out fund management business without a capital markets services licence. 2. Ms Lee pleaded guilty to the charge under section 82 of the Securities and Futures Act (SFA).
- information (A) Section 82 of the Securities and Futures Act (Cap. 289, Rev Ed 2006) (1) Subject to subsection (2) and section 99, no person shall, whether as principal or agent, carry on business in any regulated activity or hold himself out as carrying on such business unless he is the holder of a capital
- MAS
- Guidelines
Last revised date:
- These guidelines apply to: Capital markets services licensees. Banks, merchant banks, finance companies and insurers conducting regulated activities under the Securities and Futures Act.
- Please also include the foreign related corporations experience (in terms of the number of years) in the proposed capital markets services activity. [Amended on 1 July 2005] ba.
- Please also include the foreign related corporations experience (in terms of the number of years) in the proposed capital markets services activity. [Amended on 1 July 2005] ba.
- MAS
- Media Releases
Last revised date:
- The survey found that 70% of the representatives 2 have passed. 2 The survey covered 24 financial institutions, comprising the large life insurance companies, banks, capital markets services licence holders and licensed financial advisers involved in advising or arranging life insurance products for
- representatives who have not passed Module 9A: - Number of representatives who have attempted Module 9A at least once but did not succeed - Number of representatives who have not attempted Module 9A 3 Licensed Financial Advisers 4 Capital
- MAS
- Forms and Templates
Last revised date:
- In this Form, exempt financial institution 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). All questions must be answered and all fields must be filled.
- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (Rg 10) NOTICE OF CHANGE OF PARTICULARS LODGED PURSUANT TO REGULATION 14(4) BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION 99(1) (a), (b), (c)
- MAS
- Notices
Last revised date:
- finance company licensed under the Finance Companies Act (Cap 108); (iv) a registeredlicensed insurer (other than a captive insurer) under the Insurance Act (Cap 142);; and -------- Notice on Lending of Singapore Dollar to Non-Resident Financial Institutions 3 (v) a person holding a capital
- The classes of FIs subject to this policy and the applicable MAS Notices are: Financial Institutions Banks (except Representative offices) Merchant Banks Finance Companies Insurers (except captive insurers) Capital Markets Services Licence Holder (applicable only to licensees regulated to
- merchant bank approved under section 28 of the Monetary Authority of Singapore Act (Cap 186); (iii) a finance company licensed under the Finance Companies Act (Cap 108); (iv) a registered insurer (other than a captive insurer) under the Insurance Act (Cap 142); and a person holding a capital