Showing 3434 Documents for "securities"
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- MAS
- Annual Reports
Last revised date:
- The next phase is to implement a licensing regime for REIT managers under the Securities and Futures Act (SFA).
- The other major amendments are to be effected in the SFA. The other major amendments proposed are in relation to the SFA.
- Proposed Legislative Amendments to Securities and Futures Act and Financial Advisers Act The MAS will be proposing amendments to the Securities and Futures Act (SFA) and the Financial Advisers Act (FAA) in 2008.
- MAS
- Notices
Last revised date:
- asset-backed securities, mortgage-backed securities and collateralised debt obligations, and off-balance sheet exposures e.g.
- MAS
- Notices
Last revised date:
- asset-backed securities, mortgage-backed securities and collateralised debt obligations, and off-balance sheet exposures e.g.
- MAS
- Forms and Templates
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- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 33 ANNUAL DECLARATION LODGED PURSUANT TO PARAGRAPH 3(4)(c) AND/OR 3A(4)(c) OF THE SECOND SCHEDULE TO THE REGULATIONS BY PERSON EXEMPTED FROM HOLDING CAPITAL MARKETS SERVICES LICENCE TO CARRY
- 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
- Consultations
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- and Futures Act (Cap. 289) (SFA).
- The Guidelines only applies to all prospectuses and profile statements required under Part XIII of the Securities and Futures Act (Cap. 289) (SFA).
- An offering of securities will be made to the public. Active Verb We decided to invest for the long term. We will offer securities to the public.
- MAS
- Speeches
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- Communications containing Recommendations on Securities 10 Financial advisers will no longer be required to sign circulars or other communications that contain recommendations on securities.
- I have earlier noted a similar amendment in the Securities and Futures (Amendment) Bill. 9 Sir, the following are also amendments that are common to the Securities and Futures (Amendment) Bill and this Bill.
- and Futures Act ("SFA") in October 2001 as part of a major revamp of Singapore's capital markets regulatory framework.
- MAS
- Enforcement Actions
Last revised date:
- MAS has issued a prohibition order against Mr Lau Chee Heong (“Mr Lau”), an appointed representative with RHB Securities Singapore Pte Ltd (“RHB”), which prohibits Mr Lau from: (a) conducting business in any regulated activity under the Securities and Futures Act (Cap. 289) (“SFA”); and
- Pursuant to section 101A(1)(d)(i) of the SFA, MAS has issued a prohibition order against Mr Lau.
- that: (a) Mr Lau traded for his own benefit in a former client’s securities accounts, maintained with DMG & Partners & Securities Pte Ltd (“DMG”) and UOB Kay Hian Pte Ltd (“UOBKH”), between 28 May 2013 and 17 July 2013; (b) Mr Lau’s actions deceived DMG and UOBKH into believing
- MAS
- Exemptions
Last revised date:
- Section 99(1)(h) of the SFA, read with section 337(2) of the SFA MAS granted exemptions to 21 Financial Advisers (FAs) from the requirement to hold a CMS licence for dealing in securities in respect of their transmission of customers orders to another person for the purchase or
- View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2016 to 31 March 2016.
- Issue Date: 26 May 2016 EXEMPTIONS ISSUED PURSUANT TO SECTION 337(2) OF THE SECURITIES AND FUTURES ACT (CAP. 289) (SFA) For the period from 1 January 2016 to 31 March 2016 S/N Exemption granted Exemption provision Description No. of exemptions provided 21 Date of exemption granted
- PDPC
- Commission's Decisions
Last revised date:
- It was one of Open Web Application Security Project (“OWASP”) 2013’s top 10 most critical web application security risks and OWASP recommended, among other things, the usage of Indirect Object Reference as a prevention method. 17 Furthermore, as highlighted in the Commission’s Guide
- This increases the likelihood that someone with the wrong motivation could have exploited the vulnerability. 29 Finally, the Organisation also restates that the Direct Object Reference Vulnerability was not detected in the security penetration tests.
- vendor to conduct regular security penetration tests on the Mobile App and backend systems (including the API), the tests had not detected the design issue in the API that led to the Data Breach and the Organisation was unaware of it. 2 The
- MAS
- Speeches
Last revised date:
- facilitate the trading of securities; • four, infrastructure – the platforms or systems through which securities are traded.
- In Singapore, the regulatory framework for capital markets is underpinned by the Securities and Futures Act (SFA) and the Financial Advisers Act (FAA).
- Why we regulate capital markets We can think of the capital market as an ecosystem comprising four key components: • one, issuers – those who issue securities to raise capital; • two, investors – those who invest in these securities; • three, intermediaries – those who advise issuers or investors and