Showing 3434 Documents for "securities"
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- MAS
- Enforcement Actions Media Releases
Last revised date:
- (B) False appearance with respect to the price of securities under section 197(1A)(b) of the Securities and Futures Act Under section 197(1A)(b) of the Securities and Futures Act, no person shall do any thing, cause any thing to be done or engage in any course of conduct that creates, or is likely to
- create, a false or misleading appearance of active trading in any securities on a securities market, or with respect to the market for, or the price of, such securities, if he is reckless as to whether doing that thing, causing that thing to be done or engaging in that course of conduct, as the case
- Under section 232 of the Securities and Futures Act 2001, 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.
- MAS
- Media Releases
Last revised date:
- Amendment Bills represent the final step of a two-phase review of the Securities and Futures Act (SFA) and Financial Advisers Act (FAA).
- Trading of units of business trusts will be subject to the market misconduct provisions 6 of the SFA, similar to those for trading in securities of corporations.
- To ensure effective supervision and consistency with the SFA, MAS will be empowered to inspect these exempt entities.
- MAS
- Consultations
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- The rationale is that, unlike general securities funds which can invest in securities with unrestricted gearing levels, property funds invest directly in ungeared property. MAS?
- Finally, a property fund is liable for its own borrowings, unlike a securities fund which need not be liable for the borrowings of the company whose securities it has purchased. 2.
- Response: MAS considers it prudent to retain borrowing guidelines for property funds.Although a general securities fund may invest in highly-geared securities, it cannot borrow to make investments.
- MAS
- Consultations
Last revised date:
- debt securities.
- is given by the market value of the security.
- behaviour similar to equities Equity security - An equity security includes a single equity, a basket of equities or an equity index.
- MAS
- Consultations
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- Confirmation (name of principal) is aware that, for misconduct report submitted under Notice SFA 04-N11 under the Securities and Futures Act (Cap. 289) (SFA), pursuant to: section 329(1) of the SFA, Any person who furnishes the Authority with any information under this Act shall use due care
- (name of principal) is aware that, for misconduct report submitted under Notice SFA 04-N11 under the Securities and Futures Act (Cap. 289) (SFA), pursuant to: section 329(1) of the SFA, Any person who furnishes the Authority with any information under this Act shall use due care to ensure that
- [Applicable to Notices issued under the SFA, FAA, and IA] Acts relating to market conduct provisions under Part XII of the SFA (e.g.
- MAS
- Consultations
Last revised date:
- Under the current SFA regime, as such services may fall within the 1 Please refer to the definition of clearing facility in Part 2 of the First Schedule to the SFA for further details. 2 Please refer to the definition of organised market in Part 1 of the First Schedule to the SFA for
- SECURITIES AND FUTURES ACT 2001 (SECURITIES AND FUTURES (CLEARING FACILITIES) (EXEMPTION FOR APPROVED EXCHANGE AND RECOGNISED MARKET OPERATOR) REGULATIONS 2022 ARRANGEMENT OF REGULATIONS Regulation 2. Exemption 1.
- and Futures Act 2001 (SFA). 8 JULY 2022 1.2 MAS invites interested parties to provide their comments and feedback.
- MAS
- Media Releases
Last revised date:
- exchange; (f) any debenture other than: (i) asset-backed securities as defined in section 262 (3) of the Securities and Futures Act (Cap.289); or (ii) structured notes as defined in regulation 2 (1) of the Securities and Futures (Offers of Investments) (Shares and Debentures) Regulations 2005; (g) any
- exchange, and are traded on the exchange or an application has been or will be made for permission for the units of shares to be listed for quotation or quoted on a securities exchange or recognised securities exchange and the shares have been previously issued and are listed for quotation on a securities
- SFA 04-N12 (138.6 KB) ] and a new Notice on Recommendations on Investment Products [ Notice No. FAA-N16 (176.9 KB) ]. A transition period of five months will be provided for intermediaries to put in place the necessary processes to meet the requirements.
- MAS
- Notices
Last revised date:
- Performing loans and securities are the sum of rows 18, 19, 20, 22 and 24. Performing loans to financial institutions secured by Level 1 HQLA.
- MAS
- Media Releases
Last revised date:
- (B) False trading under section 197(1)(b) of the SFA Under section 197(1)(b) of the SFA, a person must not create or do anything that is intended or likely to create a false or misleading appearance with respect to the market or the price of securities. ***
- Singapore, 22 September 2010...The Monetary Authority of Singapore (MAS) has taken civil penalty enforcement action against Mr Tan Wee Kiat Melvin for contravening the false trading provisions under section 197(1)(b) of the Securities and Futures Act (SFA).
- (ii) Under section 232 of the SFA, MAS may enter into agreements with any person for that person to pay, with or without admission of liability, a civil penalty for a contravention of any provision of the SFA, Part XII, of a sum not exceeding three times the amount of the profit gained or loss avoided
- MAS
- Exemptions
Last revised date:
- (a) that have received approval in-principle for listing and quotation on any securities exchange or overseas securities exchange; or (b) are listed for quotation or quoted on any securities exchange or overseas securities exchange; execution-related advice means advice
- securities. -------- S 113/2017 6 FIFTH SCHEDULE continued 2.
- Fifth Schedule – type of securities considered as a listed excluded investment product.