Showing 3434 Documents for "securities"
Filter by
Sort by
- MAS
- Guidelines
Last revised date:
- Securities Malaysias Licensing Handbook. 30 -------- C.
- Philippine Securities and Exchange Commission (PH SEC)
- Securities Malaysias Licensing Handbook. 29 -------- B.
- MAS
- Speeches
Last revised date:
- However, their securities and futures businesses will be subject to similar requirements as that imposed on licensed securities intermediaries.
- In addition, the selection of securities products across asset classes has also widened.
- in the securities and futures markets, MAS is proposing to grant full exemption from licensing requirements in respect of securities and futures businesses to financial institutions which are already regulated by MAS.
- MAS
- Speeches
Last revised date:
- Thank you. 1 http://www.csoonline.com/article/3054570/security/symantec-zero-days-doubled-in-2015-more-companies-hiding-breach-data.html 2 http://www.pwc.com/gx/en/issues/cyber-security/information-security-survey.html
- Strengthening Cyber Resilience 15 Let me move on to cyber security and resilience. 16 Cyber security has emerged as a major priority among financial institutions.
- A survey by Pricewaterhouse Cooper 2 reported that approximately 40% more security incidents were detected than in 2015, compared to the year before. This had prompted respondents to the survey to increase their information security budgets by close to 25% in 2015.
- PDPC
- Commission's Decisions
Last revised date:
- Merely training an employee on her role does not constitute a security arrangement. 15.
- did not make reasonable security arrangements to prevent the unauthorised disclosure of the Personal Data.
- Such Policies and practices do not constitute a “reasonable security arrangement” under section 24 of the PDPA. 20.
- MAS
- Parliamentary Replies
Last revised date:
- Act ("the SFA") or one that was fraudulent and had induced others to deal in securities, in breach of Section 200 of the SFA.
- Offenders of section 253 of SFA may be fined up to $150,000 or imprisoned for up to two years or both. ****
- Depending on these facts, SGX may warn or reprimand offenders. 3 SGX may also refer the matter to MAS if it forms the view that the false and misleading statement was one that could have induced dealing in or affected the market price of securities, in breach of Section 199 of the Securities and Futures
- MAS
- Exemptions
Last revised date:
- foreign corporation, and 1 -------- 1 Section 99(1)(h) of the SFA, read with section 337(2) of the SFA 1 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
- View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 September to 31 December 2014. 1 Issue Date: 18 March 2015 EXEMPTIONS ISSUED PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 September to 31
- December 2014 S/N Exemption granted Exemption provision No. of exemptions provided 1 Date of exemption granted 30 Oct 2014 Description 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
- MAS
- Media Releases
Last revised date:
- MAS also proposed a new prospectus registration regime, as it will be taking over from the Registry of Companies and Businesses (RCB) as statutory regulator for prospectus registration, when the fund-raising provisions in the Companies Act are transferred to the new Securities and Futures Act (SFA) later
- MAS can issue directives to SGX to ensure fair and orderly securities and futures markets and proper management of systemic risks.
- MAS will be seeking feedback from the public and the industry on the proposed regime shortly, as part of its public consultation on the new SFA.
- MAS
- Guidelines
Last revised date:
- Monetary Authority of Singapore SECURITIES AND FUTURES ACT (CAP. 289) GUIDELINES ON THE CALCULATION OF COUNTERPARTY RISK REQUIREMENT FOR SPECIFIED STRUCTURED WARRANTS UNDER PARAGRAPH 3(2) OF THE THIRD SCHEDULE TO THE SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS
- These guidelines apply to capital markets services (CMS) licensees: dealing in securities and trading in futures contracts; and which are members of an approved exchange or designated clearing house in respect of capital computations before 3 April 2015 and financial returns before 1 July 2015.
- They specify how counterparty risk requirement should be computed for specified structured warrants in the following scenarios: Contracts unsettled at the end of or after the due date; Open contracts traded on an approved exchange other than a securities exchange or recognised group A exchange; and Contract
- MAS
- Forms and Templates
Last revised date:
- 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
- PDPC
- Commission's Decisions
Last revised date:
- As provided in Section 24 of the PDPA, the security arrangements must be “reasonable”.
- to guide its employees on the security of personal data on its Website and IT system within 60 days from the date of completion of the above security audit; and -------- (d) to implement a training policy for employees of the Organisation handling personal data to be trained
- However, by the Organisation’s own admission, prior to being informed of the Incident, the Organisation never considered the adequacy of the security of its Website or information technology system (“IT system”) and did not put in place any security arrangements to protect the personal