Showing 3434 Documents for "securities"

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    • MAS
    • FAQs

    Last revised date:

    System Training Video for Financial Institutions on the Use of the Corporations and Representatives System (CoRe) for the Submission of Representative Notifications to MAS
    • Provides guidance to financial institutions on the submission of representative notifications though the CoRe system.
    • MAS
    • Regulations

    Last revised date:

    Securities and Futures (Opportunity to be Heard) Regulations
    • Provides for a person to be given an opportunity to be heard by MAS and to be given at least 10 days to submit any written supporting documents as to why MAS should reconsider the decision it intends to make.
    • MAS
    • Acts

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    Terrorism (Suppression of Financing) Act 2002
    • An Act to suppress the financing of terrorism, to give effect to the International Convention for the Suppression of the Financing of Terrorism and for matters connected therewith.
    • MAS
    • Consultations

    Last revised date:

    Proposed Harmonisation of Securities Lending Rules
    • protection, CMS licensees are presently exempted from regulations pertaining to securities lending when lending securities of a customer who is an accredited investor4 to a person who is an accredited investor or when borrowing securities from or lending securities to a person who is
    • and lending 45. (1) The holder of a capital markets services licence which - (a) borrows securities from an owner of those securities (referred to in this regulation as the lender); or lends securities, including securities belonging to its customer, to a person (referred to
    • or quoted on a securities exchange or overseas securities exchange, means - (a) (b) the last transacted price of the securities traded on the exchange on the preceding business day; if there was no trading in the securities on the exchange on the preceding business day,
    • MAS
    • Guidelines

    Last revised date:

    Guidelines for Banks whose Business includes Dealing in Government Securities
    • any person has against or upon any securities, or property held in trust account or against or upon any securities, or property received from the purchase of Government securities or from the sale of Government securities before, such securities, or property are paid
    • is to secure a profit to any of the parties from the yield of securities or by reference to fluctuations in the price of securities; "dealer" means a Government securities dealer and, unless the context otherwise requires, includes a Primary, Registered or Secondary dealer
    • dealer; (E) all securities that are the property of the dealer, showing by whom the securities, or the documents of title to the securities, are held and, where they are held by some other person, whether or not they are held as security against loans or advances; (F) all
    • MAS
    • Guidelines

    Last revised date:

    Guidelines on the Aggregation of Offers Made Pursuant to the Exemptions for Small Offers or Private Placement - Shares and Debentures
    • the securities or securities-based derivatives contracts (market- makers).
    • offer of securities or securities-based derivatives contracts (other than asset- backed securities and structured notes) is a closely related offer to (a) another offer of securities or securities-based derivatives contracts (other than asset-backed securities and structured notes);
    • SF(OI)(SD) Regs] Securities and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018 [the SF (OI)(SSDC) Regs], is intended to facilitate market-making for securities or securities-based derivatives contracts acquired under section
    • MAS
    • Notices

    Last revised date:

    Notice SFA 04-N09 Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services licence and Exempt Financial Institutions under the SFA
    • [SFA 04-N09 (Amendment) 2011] [SFA 04-N09 (Amendment) 2018] [SFA 04-N09 (Amendment No. 3) 2012] [SFA 04-N09 (Amendment) 2011] [SFA 04-N09 (Amendment 2015] [SFA 04-N09 (Amendment) 2018] [SFA 04-N09 (Amendment) 2011] [SFA 04-N09 (Amendment) 2015] [SFA 04-N09 (Amendment) 2018]
    • [SFA 04-N09 (Amendment) 2010] [SFA 04-N09 (Amendment) 2018] [SFA 04-N09 (Amendment) 2010] [SFA 04-N09 (Amendment) 2011] [SFA 04-N09 (Amendment) 2015] [SFA 04-N09 (Amendment) 2018] 26 Deleted 27 Deleted [SFA 04-N09 (Amendment) 2015] Modules for Dealing in Capital
    • [SFA 04-N09 (Amendment) 2011] [SFA 04-N09 (Amendment) 2015] [SFA 04-N09 (Amendment) 2018] [SFA 04-N09 (Amendment) 2010] 17 Deleted.
    • MAS
    • Guidelines

    Last revised date:

    Guidelines on Personal Offers Made Pursuant to the Exemption for Small Offers
    • risks involved in investing in such securities or securities-based derivatives contracts.
    • The securities or securities-based derivatives contracts made available through this platform/facility are offered to you in reliance on the exemption under section 272A(1) of the Securities and Futures Act (SFA).
    • meeting with that other person may also breach the securities hawking provisions under section 309 of the SFA.
    • MAS
    • Guidelines

    Last revised date:

    Guidelines on the Interpretation of “Persons who Commonly Invest” in Division 3 of Part XII of the Securities and Futures Act [SFA 12-G01]
    • of securities, securities-based derivatives contracts or CIS units, means a section of the public that is accustomed, or would be likely, to deal in any securities, securities-based derivatives contract or CIS unit, or in a class of securities, securities-based derivatives contracts or CIS units
    • section 216 of the SFA.
    • , securities-based derivatives contract or CIS unit, or in a class of securities, securities-based derivatives contracts or CIS units, of that kind.
    • MAS
    • FAQs

    Last revised date:

    FAQs on Licensing and Business Conduct (Other than for Fund Management Companies)
    • are regulated under the Securities and Futures Act [SFA]?
    • activities are regulated under the Securities and Futures Act [SFA]?