Showing 3434 Documents for "securities"
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- These forms of crowdfunding do not involve the offer of securities or the prospect of financial returns and are therefore not subject to securities regulation.
- Where such a model of crowdfunding involves the offer of securities in the form of debentures or shares (collectively, securities-based crowdfunding, or SCF), they are subject to securities regulation in most jurisdictions, including Singapore. 4 MAS has been studying how to facilitate SCF as it can
- The SFA currently provides for an exemption for offers made to AIs without a prospectus. Under section 275, offers of securities to AIs are exempted from the prospectus requirement subject to certain specified conditions, including restrictions on advertising of the offers.
- MAS
- Notices
Last revised date:
- that a primary dealer will honour for a particular book-entry MAS security; Book-entry MAS securities means the book-entry MAS securities which may be issued under the Act.
- to take up book-entry MAS securities in every invitation by public notice to take up such securities under the Act. 2 -------- 3.2 At every book-entry MAS securities auction, a primary dealer shall apply for at least 1/x of the book-entry MAS securities issuance amount
- Obligations of primary dealers in the book-entry MAS securities market. This notice applies to all primary dealers appointed under section 145 of the MAS Act. It sets out the roles and responsibilities of primary dealers when participating in book-entry MAS securities auctions and market making.
- 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.
- PDPC
- Sector-specific Advisory Guidelines
Last revised date:
- The security guard at the entrance notifies her of the need to record her vehicle number and contact details, for security purposes. She fills in the visitor log book accordingly.
- The MCST has engaged security staff to be present at the guardhouse around the clock.
- The security guard at the entrance notifies her of the need to fill in the visitor chit with her name, contact number and partial NRIC number (i.e. last three digits and checksum of her NRIC number), for security purposes.
- MAS
- Consultations
Last revised date:
- S 000 - SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (COLLECTIVE INVESTMENT SCHEMES) (AMENDMENT) REGULATIONS 2009 In exercise of the powers conferred by sections 305 and 341 of the Securities and Futures Act, the Monetary Authority
- terminology change asked from the in if 2 CONSULTATION PAPER P005 - 2009 May 2009 Amendments to the Securities and Futures (Offers of Investments) (Collective Investment Schemes) Regulations 2005 -------- CONSULTATION PAPER ON DRAFT SECURITIES AND FUTURES (OFFERS OF
- INVESTMENTS) (COLLECTIVE INVESTMENT SCHEMES) (AMENDMENT) REGULATIONS 2009 MAY 2009 AMENDMENTS TO THE SECURITIES AND FUTURES (OFFERS OF INVESTMENTS) (COLLECTIVE INVESTMENT SCHEMES) REGULATIONS 2005 PREFACE MAS is making amendments to the Securities and Futures (Offers
- MAS
- Enforcement Actions
Last revised date:
- and 49 counts of unauthorised trading under section 201(b) of the SFA.
- Orders Ms Lau Wan Heng (Ms Lau), former remisier of CGS-CIMB Securities (Singapore) Pte.
- In addition, Ms Lau, Mr Goh and Mr Teo are prohibited from carrying out any regulated activities and from taking part in the management, acting as a director, or becoming a substantial shareholder of any capital market services licensee under the Securities and Futures Act (SFA).
- MAS
- Speeches
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- in listed corporations in the SFA.
- The Securities and Futures (Amendment) Bill 2008 Mr Speaker Sir, on behalf of the Senior Minister, I beg to move, "That the Bill be now read a second time". 2 The Securities and Futures Act (SFA) was enacted in October 2001.
- Definition of "Securities" and "Futures Contract" 28 The definitions of "securities" and "futures contract" are being amended. MAS will have the power to prescribe or exclude products as securities.
- MAS
- Notices
Last revised date:
- responsible person has the same meaning as in section 2(1) of the Securities and Futures Act (Cap. 289); [FAA-N16 (Amendment) 2012] securities exchange has the same meaning as in section 2(1) of the Securities and Futures Act (Cap. 289); securities market has the same meaning as
- lending transaction or securities repurchase transaction in relation to the scheme, except where (i) lending securities transaction or securities the repurchase transaction (as the case may be) is carried out for the sole purpose of efficient portfolio management; and -------
- - Notice on Recommendations On Investment Products 38 (ii) transactions the total value of securities subject to all the securities lending repurchase and transactions entered into by the manager does not exceed 50% of the net asset value of the scheme at any time, securities
- MAS
- Forms and Templates
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- The IT security incident is defined as an event that involves a security breach, such as hacking, intrusion or denial of service attack on a critical system, or on a system which compromises the security, integrity or confidentiality of any customer information. 15 Reporting Critical System
- impact on the FIs operations, or materially impacts the FIs service to its customers; even if it has occurred during non-business hours. 14 Definition of IT Security Incident and Types of IT Security Incidents to Report The respondents suggested that IT security incident should be defined
- The proposed Notice sets out the obligations of the financial institutions (FIs) which include requirements relating to system reliability, availability and recoverability, notification of IT security incidents and malfunction of critical systems, as well as the security of customer information.
- MAS
- Exemptions
Last revised date:
- 23 2014 January Section 302 of the SFA, read with section 247(1) of the SFA Section 81ZI(2) of the SFA 1 January 24 2014 MAS granted exemptions to the sponsor of two ETFs from compliance with paragraphs 9A, 9B and 10A of the Third Schedule of the Securities and Futures
- The ACH was exempted from the requirement to submit periodic reports 2 -------- SFA submitting regulatory reports under Regulation 14(1)(c) of the Securities and Futures (Clearing Facilities) Regulations as it did not have any clearing activities. 3
- 24 October 2014 EXEMPTIONS ISSUED PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 January 2014 to 31 March 2014 S/N Exemption granted Exemption provision Description No. of exemptions provided 2 Date of exemption granted