Showing 3434 Documents for "securities"
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- MAS
- Enforcement Actions
Last revised date:
- Additional Information: Revocation of CMS license – sections 95(2)( c) and 95(da) of the Securities and Futures Act (SFA) Under section 95(2)( c) of the SFA, MAS may revoke a CMS license, if the Authority has reason to believe that CMS licence holder has not performed its duties efficiently, honestly
- Reprimand of the directors – section 334(1) of the SFA MAS has the powers under section 334(1) of the SFA to reprimand a financial institution regulated by MAS, as well as its key officers. *****
- Under section 95(2)(da) of the SFA, the Authority may revoke a CMS licence if it appears to MAS that CMS licence holder has failed to satisfy any of its obligations under or arising from the SFA or any written direction issued by the Authority.
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) REGULATION 27(8) FORM 5 AUDITORS REPORT - FOR A HOLDER OF A CAPITAL MARKETS SERVICES LICENCE Name of
- from the mishandling and misappropriation of customers' securities and assets; (g) the applicable financial requirements prescribed under the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations have not been complied
- During the course of our audit, apart from the matters referred to in our management letter submitted together with this form, if any, nothing has come to our attention to cause us to believe that: the accounting and other records kept by the Company do not comply with section 102 of the Securities
- MAS
- Media Releases
Last revised date:
- SGX and MAS to Pool S$7.5 Million to Develop Securities and Derivatives Industry 23 June 2003...
- ." *** Notes The S$7.5 million pool of funds may be used for the following: (a) projects that will raise the general awareness of the securities and derivatives markets amongst the investing public; (b) the development, training and upgrading of skills and expertise required by personnel in the securities
- and derivatives industry; and/or (c) such other projects as MAS and SGX jointly agree that would contribute to the development of the securities and derivatives industry.
- MAS
- Regulations
Last revised date:
- Regulation 6(1)(b)(i) FORM 2 SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (APPEALS) REGULATIONS PETITION OF APPEAL Date of Service of Petition on Secretary: Name of Appellant: NRIC No.
- .*: Address(es): Telephone Number(s): This appeal is made under section ___ of the Securities and Futures Act.
- The file extension needs to be “.zip” and the appellant may use 7zip or winzip. ” FORM 1 SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (APPEALS) REGULATIONS Regulation 6(1)(a) NOTICE OF APPEAL Date of Service of Notice on Secretary
- PDPC
- Commission's Decisions
Last revised date:
- data held by the organisation and the possible harm that might result from a security breach; c) implement robust policies and procedures for ensuring appropriate levels of security for personal data of varying levels of security 23 Additionally, as stated in the Commissions Guide
- pursuant to section 48L(1)(a) of the PDPA for Starbucks SG to implement enhanced security arrangements to improve its compliance with the PDPA1.
- A financial penalty of $10,000 was imposed on Ascentis for failing to put in place reasonable security arrangements to protect individuals' personal data in its possession or under its control. Click here for more information. PERSONAL DATA PROTECTION COMMISSION [2023] SGPDPC 10 Case No.
- PDPC
- Commission's Decisions
Last revised date:
- data held by the organisation and the possible harm that might result from a security breach; c) implement robust policies and procedures for ensuring appropriate levels of security for personal data of varying levels of security 23 Additionally, as stated in the Commissions Guide
- pursuant to section 48L(1)(a) of the PDPA for Starbucks SG to implement enhanced security arrangements to improve its compliance with the PDPA1.
- A financial penalty of $10,000 was imposed on Ascentis for failing to put in place reasonable security arrangements to protect individuals' personal data in its possession or under its control. Click here for more information. PERSONAL DATA PROTECTION COMMISSION [2023] SGPDPC 10 Case No.
- PDPC
- Commission's Decisions
Last revised date:
- data held by the organisation and the possible harm that might result from a security breach; c) implement robust policies and procedures for ensuring appropriate levels of security for personal data of varying levels of security 23 Additionally, as stated in the Commissions Guide
- pursuant to section 48L(1)(a) of the PDPA for Starbucks SG to implement enhanced security arrangements to improve its compliance with the PDPA1.
- A financial penalty of $10,000 was imposed on Ascentis for failing to put in place reasonable security arrangements to protect individuals' personal data in its possession or under its control. Click here for more information. PERSONAL DATA PROTECTION COMMISSION [2023] SGPDPC 10 Case No.
- PDPC
- Commission's Decisions
Last revised date:
- data held by the organisation and the possible harm that might result from a security breach; c) implement robust policies and procedures for ensuring appropriate levels of security for personal data of varying levels of security 23 Additionally, as stated in the Commissions Guide
- pursuant to section 48L(1)(a) of the PDPA for Starbucks SG to implement enhanced security arrangements to improve its compliance with the PDPA1.
- A financial penalty of $10,000 was imposed on Ascentis for failing to put in place reasonable security arrangements to protect individuals' personal data in its possession or under its control. Click here for more information. PERSONAL DATA PROTECTION COMMISSION [2023] SGPDPC 10 Case No.
- PDPC
- Commission's Decisions
Last revised date:
- data held by the organisation and the possible harm that might result from a security breach; c) implement robust policies and procedures for ensuring appropriate levels of security for personal data of varying levels of security 23 Additionally, as stated in the Commissions Guide
- pursuant to section 48L(1)(a) of the PDPA for Starbucks SG to implement enhanced security arrangements to improve its compliance with the PDPA1.
- A financial penalty of $10,000 was imposed on Ascentis for failing to put in place reasonable security arrangements to protect individuals' personal data in its possession or under its control. Click here for more information. PERSONAL DATA PROTECTION COMMISSION [2023] SGPDPC 10 Case No.
- MAS
- Consultations
Last revised date:
- of loans Feedback 4.3.1 Another respondent proposed that other assets (i) secured by the same property as the residential mortgage loans or (ii) which form part of the 5 -------- security package provided by borrowers for the repayment of loans (e.g.
- of covered bond holders Liabilities against which cover pool assets are secured Feedback 4.2.1 One respondent proposed that liabilities arising from the enforcement of the rights of the holders of the covered bonds should be secured by the cover pool assets.
- MAS Response 4.2.2 We agree and have made the amendments in paragraph 4 of MAS Notice 648, under the Definition of Cover Pool. 4.3 Other assets secured by same property as residential mortgage loans or which form part of security package provided by borrowers for the repayment