Showing 3434 Documents for "securities"
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- 286 of the SFA and constituted as a unit trust; (xv) Any approved exchange or recognised market operator under the SFA that is incorporated in Singapore; (xvi) Any licensed trade repository under the SFA; (xvii) Any approved clearing house or recognised clearing house under the SFA that
- is incorporated in Singapore; (xviii) The Depository under the SFA; (xix) Any approved holding company under the SFA; (xx) Any authorised benchmark administrator or exempt benchmark administrator under the SFA; (xxi) Any authorised benchmark submitter or designated benchmark submitter
- officer or head of information security, who is principally responsible for establishing and implementing the information security programme of the financial institution, including but not limited to information security policies and procedures to safeguard information assets, information
- PDPC
- Help & Resources
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- In addition, an operational procedure for the secure transfer of personal data between ABC and XYZ is established by ensuring that the files containing the customers personal data is sent via a secured format, i.e., Secured File Transfer Protocol.
- public clouds acting as PII processors) ISO/IEC 29100:2011 (Information technology Security techniques Privacy framework) Multi-Tier Cloud Security (MTCS) Standard For Singapore (SS 584) (2013) 17 Re Royal Caribbean Cruises (Asia) Pte.
- For instance, to ensure that containers with the disposed paper are secured during transit and the shredding facility has physical security in place, ABC deploys employees to witness the transportation and actual destruction of the paper.
- MAS
- Enforcement Actions
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- Singapore, 22 July 2021… Three individuals were charged today for offences under the Securities and Futures Act (SFA) and the Corruption, Drug Trafficking and Other Serious Crimes (Confiscation of Benefits) Act (CDSA).
- and the Commercial Affairs Department of the Singapore Police Force. 6 If convicted, the individuals face the following punishment: For each charge under section 218 SFA, section 219 SFA and section 201 of the SFA, imprisonment for a term which may extend to a maximum of 7 years, or a fine
- section 47(2)(b) of the CDSA; and Ms Hui faces 7 charges, comprising 6 counts of insider trading of BIGL shares under section 219(2)(a) of the SFA and 1 count of unauthorised trading under section 201(b) of the SFA. 5 The investigation was jointly conducted by the Monetary Authority of Singapore
- MAS
- Media Releases
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- 1 Singapore, 6 December 2011… The Monetary Authority of Singapore (MAS) has taken civil penalty enforcement action against Mr Yao Hongyuan for contravening the insider trading provision under section 218(2)(a) of the Securities and Futures Act (SFA). 2 Shanghai Asia Holdings Ltd (SAHL), a company
- for, purchasing, selling, or entering into an agreement to subscribe for, purchase or sell those securities of that corporation.
- (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
- Annual Reports
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- SECURITIES LENDING FACILITY In January 2002, SGX introduced its Securities Lending Facility.
- SECURITIES AND FUTURES DEPARTMENT The Securities and Futures Department (SFD) has supervisory responsibility for capital markets.
- stantly reviewing technology risk and security issues.
- MAS
- Forms and Templates
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- Form FR: Notification for Annual Declaration SECURITIES AND FUTURES ACT 2001 FINANCIAL ADVISERS ACT 2001 FORM FR ANNUAL DECLARATION FOR ARRANGEMENTS WITH FOREIGN RELATED CORPORATIONS UNDER THE SECURITIES AND FUTURES (EXEMPTION FOR CROSS-BORDER ARRANGEMENTS) (FOREIGN RELATED
- Form for specified capital markets services licensees (“CMSLs”), specified exempt CMSLs, licensed financial advisers and specified exempt financial advisers to submit their annual declaration for cross-border arrangements notified under the following Exemption Regulations: - Securities and Futures (Exemption
- We are fully aware that sections 329(1), (3) and (4) of the SFA provide as follows: (1) ANY PERSON WHO THE AUTHORITY WITH ANY INFORMATION UNDER THIS ACT MUST USE DUE CARE TO ENSURE THAT THE INFORMATION IS NOT FALSE OR MISLEADING IN ANY MATERIAL PARTICULAR.
- MAS
- FAQs
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- For example, if the substantial shareholder is able to exercise control over the voting rights of the securities held by the family member or have authority to dispose of those securities, then the substantial shareholder will be deemed to have an interest in those securities. 2.2
- Sets out information to prevent errors in relation to disclosures and dissemination of notices under Part VII of the SFA.
- Whether a substantial shareholder is deemed interested in the shares held by his family member should be determined in accordance with section 4 of the SFA.
- MAS
- Forms and Templates
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- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES FORM 16 (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (Rg 10) NOTIFICATION TO CHANGE PARTICULARS FOR A REPRESENTATIVE UNDER SECTION 99H(5) OF THE SECURITIES AND FUTURES ACT AND REGULATION 5 OF THE SECURITIES AND
- 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/or
- Confirmation* The Principal, [Applicable only if any of the regulated activities under the SFA is selected] is aware that, pursuant to section 99O(1) of the SFA, Any Principal who, in connection with the lodgment of any document under section 99H of the SFA - (a) makes a statement
- MAS
- Consultations
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- or, in respect of any loan given with security, any part thereof which exceeds the market value of the assets constituting the security at the time of the application for the loan
- , advance or loan, as the case may be, and the allotment of the securities.
- S 000 - SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) (AMENDMENT) REGULATIONS 2007 In exercise of the powers conferred by sections 86(3), 100 and 341 of the Securities and Futures Act, the
- MAS
- Consultations
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- of Derivatives Contracts -------- CONSULTATION PAPER ON DRAFT REGULATIONS PURSUANT TO THE SECURITIES AND FUTURES ACT FOR REPORTING OF DERIVATIVES CONTRACTS DRAFT REGULATIONS PURSUANT TO THE SECURITIES AND FUTURES ACT FOR REPORTING OF DERIVATIVES CONTRACTS PREFACE 1 The Securities
- MAS is now consulting on draft Regulations in support of amendments contained in the SF(A) Act 2012 relating to the new Part VIA of the Securities and Futures Act (Cap. 289) (SFA).
- AND FUTURES ACT FOR THE REPORTING OF DERIVATIVES CONTRACTS 1 1.1 On 26 June 2013, MAS issued a consultation paper inviting comments on the proposed Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013, pursuant to the Securities and Futures (Amendment