Showing 3434 Documents for "securities"
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- MAS
- Enforcement Actions
Last revised date:
- (ii) Under section 232(1) of the SFA, whenever it appears that any person has contravened any provision in Part XII of the SFA, MAS may, with the consent of the Public Prosecutor, bring an action in a court against him to seek an order for a civil penalty in respect of that contravention.
- The sale of the shares allowed Tarek Bary to avoid a loss of S$168,955. 6 On 1 March 2017, MAS commenced a civil penalty action in the State Courts of Singapore against Tarek Bary for insider trading in CSE Global’s shares under the Securities and Futures Act (SFA). 7 On 27 November 2017, Tarek Bary
- (B) Insider Trading under Section 218(2)(a) of the SFA Section 218(2)(a) of the SFA prohibits a person who is in possession of materially price-sensitive information concerning a corporation (to which he is connected), which he knows is materially price-sensitive and not generally available, from (whether
- MAS
- Media Releases
Last revised date:
- (ii) Under section 232(1) of the SFA, whenever it appears that any person has contravened any provision in Part XII of the SFA, MAS may, with the consent of the Public Prosecutor, bring an action in a court against him to seek an order for a civil penalty in respect of that contravention.
- The sale of the shares allowed Tarek Bary to avoid a loss of S$168,955. 6 On 1 March 2017, MAS commenced a civil penalty action in the State Courts of Singapore against Tarek Bary for insider trading in CSE Global’s shares under the Securities and Futures Act (SFA). 7 On 27 November 2017, Tarek Bary
- (B) Insider Trading under Section 218(2)(a) of the SFA Section 218(2)(a) of the SFA prohibits a person who is in possession of materially price-sensitive information concerning a corporation (to which he is connected), which he knows is materially price-sensitive and not generally available, from (whether
- MAS
- Forms and Templates
Last revised date:
- Central Depository System Form 12 - Discharge of Charge SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (CENTRAL DEPOSITORY SYSTEM) REGULATIONS 2015 REGULATION 20(1) DISCHARGE OF CHARGE FORM 12 Explanatory Notes provided. 1.
- Submission of this Form must be accompanied by the fees payable to the Depository and/or the depository agent for the Instrument of Discharge of Charge. -------- SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (CENTRAL DEPOSITORY SYSTEM) REGULATIONS 2016 DISCHARGE OF CHARGE FORM 12
- REGULATION 20(1) Name of Securities (in full) Security Code (For CDP Use) Quantity : : : : : : : : : : : :
- MAS
- Exemptions
Last revised date:
- View exemptions issued under section 337(2) of the Securities and Futures Act for the period from1 April 2019 to 30 June 2019.
- Issue Date: 25 July 2019 EXEMPTIONS ISSUED PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 April 2019 to 30 June 2019 S/N Exemption granted Exemption provision No. of exemptions provided Date of exemption granted Description
- 8 Section 99(1)(h) of the SFA, read with section 337(2) of the SFA Exemption from requirement to hold a Capital Markets Services (CMS) licence for fund management 7 May 2019 and 28 June 2019 MAS granted exemptions to 8 single family offices (SFOs) that provided fund management
- MAS
- Annual Reports
Last revised date:
- Given the prevalence of internet security threats, MAS has issued security guidelines and advisories to financial institutions to advise them to improve their security controls on internet channels.
- We completed phase two amendments to the Securities and Futures Act (SFA) and Financial Advisers Act (FAA). In January 2005, Parliament passed the Securities and Futures (Amendment) Act and the Financial Advisers (Amendment) Act.
- We encouraged the banks to continue to strengthen their security controls and update customers on the security precautions to take when accessing online banking services.
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 32 NOTICE OF CESSATION OF BUSINESS LODGED PURSUANT TO PARAGRAPH 3(4)(c) AND/OR 3A(4)(c) OF THE SECOND SCHEDULE TO THE REGULATIONS BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES
- Please refer to the Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the SFA other than for fund managers and REIT managers) (https://www.mas.gov.sg/regulation/guidance/compliance-toolkit-for-approvals-notifications-and-other-regulatory-submissions-to-mas-sfa
- MAS
- Notices
Last revised date:
- 3 : 28 July 2011 (last updated on 29 April 2015 6 July : SFA 04-N12 Notice No Issue Date 2018) NOTICE ON THE SALE OF INVESTMENT PRODUCTS Introduction 1 Securities and Futures Act (Cap. 289) [the Act].
- Sale of Investment Products ______ 3 : SFA 04-N12 : 28 July 2011 (last updated on 5 October 2018) Notice No Issue Date NOTICE ON THE SALE OF INVESTMENT PRODUCTS Introduction 1 Securities and Futures Act (Cap. 289) [the Act].
- lending or repurchase transactions for the scheme; any debenture other than: (i) asset-backed securities as defined in section 262(3) of the Act; or (ii) structured notes as defined in regulation 2(1) of the Securities and Futures (Offers of Investments) (Shares and
- MAS
- Exemptions
Last revised date:
- Exemptions issued under s337(2) SFA - 4Q2019 Issue Date: 30 January 2020 EXEMPTIONS ISSUED PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 October 2019 to 31 December 2019 S/N Exemption granted Exemption provision No. of exemptions
- provided Date of exemption granted Description 1 Section 99(1)(h) of the SFA, read with section 337(2) of the SFA 7 November 2019 MAS granted an exemption to a company that arranged FX swaps for the benefit of its immediate parent company and other affiliated companies.
- , read with section 337(2) of the SFA 25 November 2019, 18 December 2019, 31 December 2019 MAS granted exemptions to 14 single family offices (SFOs) that provided fund management services to their respective sponsors.
- MAS
- Forms and Templates
Last revised date:
- Central Depository System Form 13 - Discharge of Sub-Charge SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (CENTRAL DEPOSITORY SYSTEM) REGULATIONS 2015 REGULATION 20(1) DISCHARGE OF SUB-CHARGE FORM 13 Explanatory Notes provided. 1.
- Submission of this Form must be accompanied by the fees payable to the Depository and/or the depository agent for the Instrument of Discharge of Sub-Charge. -------- SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (CENTRAL DEPOSITORY SYSTEM) REGULATIONS 2016 DISCHARGE OF SUB-CHARGE
- FORM 13 REGULATION 20(1) Name of Securities (in full) Security Code (For CDP Use) Quantity
- MAS
- Notices
Last revised date:
- (ii) The insurer must then revalue the security by adding this constant basis point credit spread adjustment on the relevant yield curve for the security, and calculate the resulting fall in value of the security.
- issued by a government or a public authority Corporate debt securities in Credit Quality Class A and Class B Corporate debt securities in Credit Quality Class C and Class D Security listed on a securities exchange None of the above 5% 10% 15% 30% 100% 95% 90% 85% 70% 0%