Showing 3434 Documents for "securities"
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- MAS
- Consultations
Last revised date:
- In the case of a reverse repurchase transaction (bank buying the security with an agreement to sell back the security at a specified future date and price, i.e. bank giving a secured loan), the amount due from the counterparty (i.e. sum of principal and interest) when the bank returns the security
- ii) The mark-to-market value of the securities lent by the bank should continue to be counted as an exposure to the issuer of the security.
- transactions or other securities lending transactions that function economically like a secured loan. 4 Discounted bills held by the bank.
- MAS
- Exemptions
Last revised date:
- Securities and Futures Act 2001 (SFA)1.
- Monetary Authority of Singapore COMPLIANCE TOOLKIT FOR APPROVALS, NOTIFICATIONS AND OTHER REGULATORY SUBMISSIONS TO MAS UNDER THE SECURITIES AND FUTURES ACT (SFA) For: 1.
- -04-n17 7 https://www.mas.gov.sg/regulation/notices/notice-sfa-04-n18 8 Banks, merchant banks, finance companies and insurers conducting regulated activities under the SFA are exempt from holding a CMS licence under section 99(1)(a), (b), (c) and (d) of the SFA respectively.
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (Rg 10) NOTIFICATION TO ADD ACTIVITY/ACTIVITIES OF A REPRESENTATIVE UNDER SECTION 99L OF THE SECURITIES AND FUTURES ACT AND REGULATION 5 OF THE SECURITIES AND FUTURES (LICENSING
- under the SFA and/or FAA, have been satisfied.
- This form should be completed after ensuring that the criteria listed in the Securities and Futures Act (Cap 289) (SFA) and relevant Regulations or Financial Advisers Act (Cap 110) (FAA) and relevant Regulations, as well as relevant Notices and Guidelines issued
- MAS
- Forms and Templates
Last revised date:
- Form FN: Notification for New Arrangements SECURITIES AND FUTURES ACT 2001 FINANCIAL ADVISERS ACT 2001 FORM FN NOTIFICATION FOR ARRANGEMENTS WITH FOREIGN RELATED CORPORATIONS UNDER THE SECURITIES AND FUTURES (EXEMPTION FOR CROSS- BORDER ARRANGEMENTS) (FOREIGN RELATED CORPORATIONS
- This notification is in respect of a cross-border arrangement that was approved prior to 9 October 2021 under Paragraph 9 of the Third Schedule to the Securities and Futures Act 2001 (SFA); and/or Paragraph 11 of the First Schedule to the Financial Advisers Act 2001 (FAA).
- of venture capital funds as defined in the Securities and Futures (Licensing and Conduct of Business) Regulations (SF(LCB)R); licensed under section 6(1) of the FAA; exempted under section 99(1)(a), (b), (c) or (d) of the SFA; exempted under paragraphs 3(1)(d) and/or 3A(1)(d) of the Second Schedule
- MAS
- Consultations
Last revised date:
- PAPER ON PROPOSED AMENDMENTS TO THE SECURITIES AND FUTURES ACT ON REGULATION OF FINANCIAL BENCHMARKS TABLE OF CONTENTS PREFACE INTRODUCTION ANNEX 1: DRAFT AMENDMENTS TO SECTION 2 OF THE SFA ANNEX 2: NEW PART VIAA (FINANCIAL BENCHMARKS) OF THE SFA DIVISION 1 - DESIGNATION
- ) OF THE SFA DIVISION 5 - POWER TO DIRECT SUBMISSIONS ANNEX 6: DRAFT AMENDMENTS TO PART IX (SUPERVISION AND INVESTIGATION), PART X (ASSISTANCE TO FOREIGN REGULATORY AUTHORITIES) & PART XII (MARKET CONDUCT) OF THE SFA ANNEX 7: DRAFT CONSEQUENTIAL AMENDMENTS TO THE SFA
- The two key thrusts of the proposed regulatory framework are: The manipulation of any financial benchmark in Singapore will be made liable to criminal and civil sanctions under the Securities and Futures Act (SFA).
- PDPC
- Commission's Decisions
Last revised date:
- The security guards were also required to surrender the log book before going for breaks; handing and taking over of the log book between the security supervisors at shift changeovers; and keeping the log book within sight of the security camera.
- The Respondent also required security supervisors on duty to remind the security guards prior to every shift on the confidentiality of the visitors personal data in the log book. e.
- The Respondent was appointed by the MCST of the Condominium to provide security services. 3.
- MAS
- Forms and Templates
Last revised date:
Form 3D - Notification of the Completion of Examination Requirements by a Provisional Representative- SFA 04-N09] issued by the Authority.
- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (Rg 10) NOTIFICATION OF THE COMPLETION OF EXAMINATION REQUIREMENTS BY A PROVISIONAL REP UNDER SECTION 99E(5) OF THE SECURITIES AND FUTURES ACT AND REGULATION 3B(2) OF THE SECURITIES
- This form should be completed after ensuring that the criteria listed in the Securities and Futures Act (Cap 289) (SFA) and relevant Regulations or Financial Advisers Act (Cap 110) (FAA) and relevant Regulations, as well as relevant Notices and Guidelines issued under the SFA and
- MAS
- Consultations
Last revised date:
- and leveraged foreign exchange trading in the SFA.
- scope of the SFA to regulate OTC derivative activities.
- MAS will consider amendments to relevant parts of the SFA at a later stage to align the treatment for securities and futures contracts and derivative contracts.
- MAS
- Guidelines
Last revised date:
- (Cap. 289) (SFA).
- These Guidelines should be read in conjunction with the provisions of Part VIIA of the SFA and the Securities and Futures (Short Selling) Regulations 2018 (Regulations), and where relevant, other provisions of the SFA.
- For example, information that those securities are under sustained heavy short selling may indicate strong negative price pressure on those securities.
- MAS
- Monographs/Information Papers
Last revised date:
- using sophisticated trading methods or by withholding information); and b. 8 Sections 137ZD(1) and 232(1) of the SFA 9 Section 232(2)(a) of the SFA 10 Section 232(2)(b) of the SFA 11 Section 232(3) of the SFA 12 Section 232(5) of the SFA 13 Even though the law allows MAS to settle with
- and Principles of Securities Regulation, May 2017
- compliance with securities and derivatives laws in Singapore.