Showing 3434 Documents for "securities"
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- MAS
- Notices
Last revised date:
- and Futures (Markets) Regulations 2005 (Markets Regulations), regulation 9(1) of the Securities and Futures (Trade Repositories) Regulations 2013 and regulation 11(1) of the Securities and Futures (Clearing Facilities) Regulations 2013.
- )(e) and 19(2)(b) of the Securities and Futures (Financial Benchmarks) Regulations 2018 (Financial Benchmarks Regulations).
- incident means an event that involves a security breach, such as hacking of, intrusion into, or denial of service attack on, a critical system, or a system which compromises the security, integrity or confidentiality of customer information; -------- Any expression used in this Notice shall, except
- MAS
- Media Releases
Last revised date:
- (SFA) and Financial Advisers Act (FAA).
- These regulated activities are: dealing in securities; trading in futures contracts; leveraged foreign exchange trading; advising on corporate finance; fund management; securities financing and providing custodial services for securities. Licence fees will be levied on each activity undertaken.
- structure under the SFA and FAA has been formulated to be consistent with the licensing frameworks under the respective Acts. 10 Under the SFA, a single Capital Markets Services (CMS) licence will be issued to intermediaries for the various regulated activities they engage in.
- MAS
- Forms and Templates
Last revised date:
- Note: Terms used in this form (e.g. securities) follow the definitions in the Securities and Futures Act (SFA) prior to 8 October 2018. The Securities and Futures (Amendment) Act 2017, effective 8 October 2018, amends the product and regulated activity definitions in the SFA.
- SECURITIES AND FUTURES ACT (CHAPTER 289) FORM SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) 3 REGULATION 27(9) (a) STATEMENT RELATING TO THE ACCOUNTS OF A HOLDER OF A CAPITAL MARKETS SERVICES
- Previous year Current Year 20__ $ 20__ $ (1) Revenue (a) Brokerage and commission from: (i) Exchange traded business - Securities - Futures and derivatives (ii) Non-exchange traded business - Securities -------- - Derivatives - Leveraged foreign exchange
- PDPC
- Commission's Decisions
Last revised date:
- However, in some cases, such policies may also serve as an administrative security measure to protect personal data. 33 Where a data protection policy is meant to serve as an administrative security measure to protect personal data, organisations should note the importance
- Due to this lack of specificity and detail, the Commissioner is not satisfied that the PDPA Compliance Policy constituted a reasonable security arrangement under section 24 of the PDPA.
- These dos and don’ts did not provide sufficient instructions or guidance for the processing staff concerning their specific duties. 13 -------- Aviva Ltd 32 Security arrangements may take various forms.
- PDPC
- Commission's Decisions
Last revised date:
- With the use of IT comes the responsibility for data security in IT systems. We urge organisations who may be unable to conduct such security reviews on their own to engage the necessary expertise from the professionals. 8.
- Compounding the above, the Organisation also did not conduct reasonable periodic security review.
- Periodic security reviews is also a practice that the Commission has consistently advised organisations to adopt.
- PDPC
- Commission's Decisions
Last revised date:
- As set out in the Guide on Building Websites for SMEs (at [5.6]): 5.6 Security Testing 5.6.1 Testing the website for security vulnerabilities is an important aspect of ensuring the security of the website.
- As a baseline, organisations may wish to consider using the Open Web Application Security Project (OWASP) Testing Guide and the OWASP Application Security Verification Standard (ASVS) to verify that security requirements for the website have been met.
- , the Organisation failed to conduct vulnerability scans or any other form of security testing for the Website.
- MAS
- Consultations
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- and Futures Act (Cap. 289) (SFA); (vii) an approved clearing house under the SFA; (viii) an approved holding company under the SFA;2 (ix) a holder of a capital markets services licence under the SFA; (x) a financial adviser licensed under the Financial Advisers Act (Cap. 110); and (xi)
- market operator that is incorporated in Singapore under the SFA; (vii) a recognised clearing house that is incorporated in Singapore under the SFA; (viii) the Central Depository System as defined under the SFA; (ix) a licensed trade repository under the SFA; (x) an authorised benchmark
- officer or head of information security, who is principally responsible for the information security strategy and programme of the financial institution, including but not limited to information security policies and procedures to safeguard information assets, information
- MAS
- Enforcement Actions
Last revised date:
- Singapore, 25 January 2016… The Monetary Authority of Singapore (MAS) has taken civil penalty action under the Securities and Futures Act (SFA) against Mr Wong Teck Kui for insider trading in the shares of Time Watch Investments Limited (TWI).
- (ii) Under section 232 of the SFA, MAS may enter into an agreement with any person for that person to pay, with or without admission of liability, a civil penalty for contravening any provision of Part XII 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 market services licence or any person exempt from holding a capital
- MAS
- Media Releases
Last revised date:
- Singapore, 11 October 2007...The Monetary Authority of Singapore (MAS) has released a policy consultation paper on proposed amendments to the Securities and Futures Act (SFA) and the Financial Advisers Act (FAA).
- to foreign regulators; (c) licensing exemptions relating to fund management, leveraged foreign exchange trading and advising on corporate finance; and (d) definitions of “securities” and “futures contract” in the SFA and the FAA.
- These amendments aim to enhance MAS’ supervisory oversight of capital markets services and financial advisers’ licence holders, and the responsiveness of MAS’ regulatory framework to market innovation. 3 MAS has also released the draft Amendment Bills to the SFA and the FAA, the Draft Securities and
- MAS
- Enforcement Actions
Last revised date:
- or deception in connection with the subscription, purchase or sale of securities.
- (B) Section 201(b) of the SFA Under section 201(b) of the SFA, no person shall, directly or indirectly, in connection with the subscription, purchase or sale of any securities engage in any act, practice or course of business which operates as a fraud or deception, or is likely to operate as a fraud
- Singapore, 8 March 2017… The Monetary Authority of Singapore (MAS) has successfully obtained a civil penalty judgment against Mr Wang Boon Heng (Wang) and Ms Foo Jee Chin (Foo) for contravening section 201(b) of the Securities and Futures Act (SFA), which prohibits any conduct that operates as a fraud