Showing 3434 Documents for "securities"
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- MAS
- Media Releases
Last revised date:
- MAS has also entered into MoUs with other securities and futures regulators.
- Yesterday, the MAS signed an MoU with the Australian Securities and Investments Commission (ASIC) as well as a tripartite MoU with the US Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC).
- Said Mr Shanmugaratnam, "The signing of this MoU at the International Organisation of Securities Commissions (IOSCO) Annual Conference signifies the importance of co-operation amongst regulators with greater integration of securities markets globally.
- MAS
- Enforcement Actions
Last revised date:
- 1 On 9 May 2014, MAS reprimanded Mr Mason Robert ["Mr Mason"] 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
- activities of dealing in securities and advising on corporate finance from 13 September 2012 to 18 July 2013, when he was not an appointed representative, provisional representative or temporary representative for the regulated activities of dealing in securities and advising on corporate finance.
- This ensures that individuals conducting regulated activities are fit and proper and comply with the relevant requirements under the SFA.
- MAS
- Enforcement Actions
Last revised date:
- activity of dealing in securities from 13 August 2012 to 12 October 2012, when she was not an appointed representative, provisional representative or temporary representative for the regulated activity of dealing in securities.
- 1 On 9 May 2014, MAS reprimanded Ms Loh Yun Ling, Alison ["Ms Loh"] 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
- This ensures that individuals conducting regulated activities are fit and proper and comply with the relevant requirements under the SFA.
- MAS
- Forms and Templates
Last revised date:
- In answering the questions, the applicant should have regard to Part VIAA of the Securities and Futures Act (CAP. 289), the Securities and Futures (Financial Benchmarks) Regulations 2018 (SF(FB)R), and the IOSCO Principles for Financial Benchmarks.
- SECURITIES AND FUTURES ACT (CAP. 289) FORM SECTION 123E(2) APPLICATION FOR AUTHORISATION AS AN AUTHORISED BENCHMARK ADMINISTRATOR 7 Explanatory Notes 1.
- GENERAL INFORMATION Name of Applicant: Application is hereby made for authorisation under section 123E(1) of the Securities and Futures Act (Cap. 289) as an authorised benchmark administrator. INFORMATION ON APPLICANT 1.
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 23 NOTICE OF CHANGE OF PARTICULARS LODGED PURSUANT TO PARAGRAPH 7(6)(b) 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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- Mitsubishi UFJ Securities (Singapore), Limited 12.
- in the case where the Merchant Bank has lent securities to a counterparty or sold securities to a counterparty with a commitment to repurchase those securities at a specified price on a specified future date, the latest fair value of the security lent or sold; and
- asset-backed securities, mortgage-backed collateralised debt obligations); securities and (b) any off-balance sheet exposure to a securitisation (e.g.
- MAS
- Media Releases
Last revised date:
- DPM Lee also revealed today that MAS has completed the review of licensing requirements of Internet-based securities activities.
- DPM Lee revealed today that MAS has completed the review of licensing requirements of Internet-based securities activities.
- Reflecting the increased interest by local investors, 66% of all corporate debt securities issued last year were absorbed by investors in Singapore. The results (90.9 KB) of the survey are attached.
- MAS
- Forms and Templates
Last revised date:
- Clearing Facilities - Form 4 Application for Change in Status SECURITIES AND FUTURES ACT (CAP. 289) SECURITIES AND FUTURES (CLEARING FACILITIES) REGULATIONS 2013 REGULATION 9 APPLICATION FOR CHANGE IN STATUS FORM 4 Explanatory Notes application form. 1.
- and Futures Act; and b) Part III of the Securities and Futures (Clearing Facilities) Regulations 2013.
- Application is hereby made for change in status under section 9(1) of the Securities and Futures Act (Cap. 289) from an approved clearing house to a recognised clearing house; or a recognised clearing house to an approved clearing house Describe the reasons for the application.
- MAS
- Regulations
Last revised date:
- S 425 SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (CLEARING FACILITIES) (AMENDMENT) REGULATIONS 2015 In exercise of the powers conferred by sections 81Q and 341 of the Securities and Futures Act, the Monetary Authority of Singapore makes the following Regulations
- Regulations setting out licensing requirements and obligations of regulated clearing houses 08 Oct 2018 Securities and Futures (Clearing Facilities) (Amendment) Regulations 2018 08 Jul 2015 Securities and Futures (Clearing Facilities) (Amendment) Regulations 2015 (75.5 KB) No.
- These Regulations may be cited as the Securities and Futures (Clearing Facilities) (Amendment) Regulations 2015 and come into operation on 8 July 2015. Amendment of Second Schedule 2.
- MAS
- Regulations
Last revised date:
- S 495 SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (COMPOSITION OF OFFENCES) (AMENDMENT) REGULATIONS 2018 In exercise of the powers conferred by section 341 of the Securities and Futures Act, the Monetary Authority of Singapore makes the following Regulations
- These Regulations are the Securities and Futures (Composition of Offences) (Amendment) Regulations 2018 and come into operation on 14 August 2018. Amendment of regulation 3 2.
- Sets out the offences which may be compounded by MAS and the acceptance of the offer of composition by a person reasonably suspected to have committed an offence. 13 Aug 2018 Securities and Futures (Composition of Offences) (Amendment) Regulations 2018 (171.9 KB) 1 S 495/2018 First published in