Showing 590 Documents for "CMS"
Filter by
Sort by
- 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
- holder of the capital markets services (CMS) licence: __________________ (the Company) Financial year ended: ________________________________________________________________ 1 We have audited the financial statements of the Company, which comprise the statement of financial position
- Form for capital markets services licensees to submit their auditor's reports on their businesses. This form must be submitted within five months from the end of the financial year. Form 5 should be completed and lodged online via FormSG .
- MAS
- Consultations
Last revised date:
- [] 47 -------- PART IV HOLDERS OF CAPITAL MARKETS SERVICES LICENCE AND REPRESENTATIVES Division 1 Capital Markets Services Licence Power of Authority to impose conditions or restrictions 88.(1) The Authority may grant a capital markets services licence subject to such conditions
- services (CMS) is merely one of many entities comprising a global financial services business being acquired.
- of the holder of a capital markets services licence; and (bc) a reference to the voting power in the holder of a capital markets services licence is a reference to the total number of votes that may be cast in a general meeting of the holder.
- PDPC
- Commission's Decisions
Last revised date:
- T2 created the design and HTML code but outsourced the development of the entire CMS to a freelancer, who in turn subcontracted the actual development of the CMS to another entity that T2 has only identified as “developers based in China”.
- With regard to T2’s first hypothesis, T2 represented that the CMS was assumed to be designed in such a way that normal usage of the CMS system by staff would not result in changes to the code. The code was intended to be static to such users.
- the CMS system). It was found that these issues did not pertain to the contracted responsibilities of Cybersite, who was only hosting the site.
- MAS
- Guidelines
Last revised date:
- These guidelines apply to: Capital markets services (CMS) licensees Banks, merchant banks or finance companies which have related corporations that issue or promulgate research analyses or research reports, whether in electronic, print or other form, concerning any investment product.
- They apply to any holder of a capital markets services licence or person who is exempt from holding a capital markets services licence under section 99(1)(a), (b) or (c) of the SFA who has a related corporation that issues or promulgates research analyses or research reports
- While the obligation to manage conflicts of interest is applicable to all holders of capital markets services licenses and persons who are exempt from holding a capital markets services licence under section 99(1)(a), (b) or (c) of the SFA, these Guidelines focus specifically on
- MAS
- Guidelines
Last revised date:
- 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.
- Calculation of Counterparty Risk Requirement for Specified Structured Warrants 3 3.1 A holder of a capital markets services licence (holder) shall calculate a counterparty risk requirement for any specified structured warrant which is settled on a delivery-versus-payment
- 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 FOR HOLDERS OF CAPITAL
- MAS
- Guidelines
Last revised date:
- markets services [CMS] licence under section 82(1) of the SFA; (i) a licensing as a licensed financial adviser [FA] under section 6(1) of the Financial Advisers Act (Cap. 110) [FAA]; (j) a registration as an insurance broker under section 35X of the IA; (k) an approval as
- and Proper Criteria Last revised on: 1 July 2021 connected person has the same meaning as in section 2(1) of the SFA or section 2(1) [Amended on 26 November 2010] of the FAA, as the case may be; exempt entity means: (a) a person exempt from the requirement to hold a CMS
- (g) in relation to a person whose activity is regulated by MAS under the SFA: (i) a substantial shareholder or an equivalent person of a holder of a CMS licence, an approved exchange, a recognised market operator, a licensed 12 -------- Guidelines on Fit and Proper Criteria Last
- PDPC
- Commission's Decisions
Last revised date:
- T2 created the design and HTML code but outsourced the development of the entire CMS to a freelancer, who in turn subcontracted the actual development of the CMS to another entity that T2 has only identified as developers based in China.
- With regard to T2s first hypothesis, T2 represented that the CMS was assumed to be designed in such a way that normal usage of the CMS system by staff would not result in changes to the code. The code was intended to be static to such users.
- the CMS system). It was found that these issues did not pertain to the contracted responsibilities of Cybersite, who was only hosting the site.
- MAS
- Consultations
Last revised date:
- These entities hold a Commodity Broker licence under the CTA and Capital Markets Services (CMS) licence under the SFA.
- The suggestions include extending the exemptions currently available for commodity brokers to spot commodity brokers, and to exempt MAS capital markets services (CMS) licensees from the CTAs licensing regime.
- As a CMS licensee, the entity will have to comply with the relevant capital, business conduct and risk management requirements under the SFA.
- MAS
- Guidelines
Last revised date:
- However, if the foreign entitys acts fall within the purview of section 82 read together with section 339(2) and the foreign entity is related to the regulated person who holds a capital markets services licence or is exempted from the requirement to hold a capital markets services licence
- The regulated person is either a holder of a capital markets services licence or an exempt person, and also a clearing member of the Central Depository (Pte) Ltd (CDP) and the Singapore Exchange Derivatives Clearing Ltd.
- Illustration 7: Custodial Services Scenario 1 A person in Singapore (client) contracts with a holder of a capital markets services licence to provide custodial services (the regulated person) to purchase custodial services on a global basis.
- MAS
- Consultations
Last revised date:
- Lapsing of capital markets services licence 9.
- Duties of holder of capital markets services licence 13.
- licence (for an entity which is currently not regulated by MAS), vary its CMS licence (for an existing CMS licensee 5) or submit a notification to MAS (for a bank, merchant bank or finance company exempt from holding a CMS licence to conduct regulated activities under the SFA6