Showing 3434 Documents for "securities"
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- MAS
- Media Releases
Last revised date:
- Singapore, 30 August 2018… The Monetary Authority of Singapore (MAS) has issued 12-year prohibition orders against Mr Lee Chang Yeh Bentley, under the Securities and Futures Act (SFA) and the Financial Advisers Act (FAA). 2 The orders prohibit him from performing any regulated activity under the SFA
- Mr Lee is also prohibited from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under the SFA and any financial advisory firm under the FAA. 3 Mr Lee was a representative of CIMB Bank Berhad, Singapore (CIMB) from September
- approximately S$520,000 from the monies entrusted to him by clients whom he had served whilst with UOB. 4 For committing criminal breach of trust in contravention of Section 409 of the Penal Code, as well as conducting regulated activities without a licence in contravention of Section 82(1) of the SFA
- MAS
- Subsidiary Legislation
Last revised date:
- Type of card Documents required A fully unsecured or partially secured credit card or charge card to be issued pursuant to 8(2)(a)(ii) regulation and (iii) and (b)(ii).
- non-card credit facility by the card issuer or any of its affiliated corporations (other than any fully unsecured or partially secured non-card credit facility that is a loan referred to in regulation 6(9))
- cards) issued to the cardholder by the card issuer and, if one or more supplementary charge cards have been issued under such charge cards having separate credit limits from the principal cards, of all such supplementary charge cards; -------- S 379/2022 4 (iv) the credit limits of all partially secured
- PDPC
Last revised date:
- Are these methods reviewed periodically to ensure that it is recognised by the industry are relevant and secure? Partial.
- ABC also conducts periodic ICT Personal data of individuals may be exposed if the website or database in which it is stored contains 4 3 15 15 -------- GUIDE TO DATA PROTECTION IMPACT ASSESSMENTS (published 1 November 2017) Is a security security awareness training for its staff
- 14 15 16 Are there contractual agreements to ensure these third party organisations have reasonable security measures in place to safeguard personal data?
- MAS
- Enforcement Actions
Last revised date:
- POs issued against Mr Lee and Mr Ong 2 Mr Lee and Mr Ong are prohibited from performing any regulated activity under the Securities and Futures Act (SFA) and providing any financial advisory service under the Financial Advisers Act (FAA).
- They are also prohibited from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under the SFA and any financial advisory firm under the FAA The POs against Mr Lee and Mr Ong were issued under section 101A of the SFA and section
- subscription, purchase or sale of any securities engage in any act, practice or course of business which operates as a fraud or deception, or is likely to operate as a fraud or deception, upon any person.
- PDPC
- Commission's Decisions
Last revised date:
- [2019] SGPDPC 40 responsible for making reasonable security arrangements to protect the Personal Data. 10.
- However, in practice résumés which were uploaded to the Website were stored in a folder (the Folder) on the Websites server which was not secured by access controls.
- Hence, while the Web Host had performed some security reviews on the Website, they had not been engaged to advise on or implement measures to protect the personal data stored in the Folder. 8.
- MAS
- Media Releases
Last revised date:
- POs issued against Mr Lee and Mr Ong 2 Mr Lee and Mr Ong are prohibited from performing any regulated activity under the Securities and Futures Act (SFA) and providing any financial advisory service under the Financial Advisers Act (FAA).
- They are also prohibited from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under the SFA and any financial advisory firm under the FAA The POs against Mr Lee and Mr Ong were issued under section 101A of the SFA and section
- subscription, purchase or sale of any securities engage in any act, practice or course of business which operates as a fraud or deception, or is likely to operate as a fraud or deception, upon any person.
- MAS
- Media Releases
Last revised date:
- of digital bonds financed with a repo facility Buying and selling, as well as secured borrowing and lending of tokenised bonds and deposits Digital issuance of VCC funds Listing framework for debt securities Native issuance of asset-backed security tokens Native issuance of digital bonds
- digital bonds financed with a repo facility Buying and selling, as well as secured borrowing and lending of tokenised bonds and deposits Buying and selling, as well as secured borrowing and lending of tokenised bonds and deposits Native digital issuance of structured products Native issuance
- Schroders is partnering Calastone to explore the capabilities of a tokenised investment vehicle which can wrap and issue traditional investment securities, using VCCs.
- MAS
- Enforcement Actions
Last revised date:
- in securities from September 2013 to January 2014, when he was not an appointed, provisional or temporary representative for the regulated activity of dealing in securities.
- 1 On 24 December 2014, MAS reprimanded Mr Ulysses Lau [“Mr Lau”] for contravention of section 99B(1) of the SFA. 2 Section 99B(1) of the SFA stipulates that no person shall act as a representative in respect of any type of regulated activity or hold himself out as doing so, unless he is,
- This ensures that individuals conducting regulated activities are fit and proper and comply with the relevant requirements under the SFA.
- MAS
- Consultations
Last revised date:
- . 7 Accredited Investors as defined under section 4A of the SFA. 8 Institutional Investors as defined under section 4A of the SFA.
- NFMCs and A/I LFMCs should not circumvent the clientele class restrictions by the use of innovative investment vehicles to target retail investors. 1 As defined in Section 4 of the Securities and Futures Act. 2 As referred to in the Securities
- and Futures Act (Cap. 289) [SFA], and the exemption regime for financial intermediaries conducting the activity of leveraged foreign exchange trading1 under the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg 10) [SF(LCB)Regs]. 2 The Authority
- MAS
- Consultations
Last revised date:
- is a written set of security standards for every system.
- Security Patches: (a) A licensed credit bureau must ensure that security patches are applied to address vulnerabilities to every system, and apply such security patches within a timeframe that is commensurate with the risks posed by each vulnerability.
- The security standards should be applicable to every system used by the LCB as set out in paragraph 4.3(a) in the CHN. reviews 3. One respondent enquired whether security standards are only applicable for critical systems as defined in the CHN.