Showing 590 Documents for "CMS"
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- MAS
- Consultations
Last revised date:
- These requirements will eventually be migrated to MAS Guidelines on Criteria for the Grant of a Capital Markets Services (CMS) Licence and Representatives Licence [Guideline No.
- a capital markets services licence under the Act to deal in securities or trade in futures contract, or for fund management or real estate investment trust management; .
- These Regulations may be cited as the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) (Amendment) Regulations 2007 and shall come 2007.
- MAS
- Media Releases
Last revised date:
- Singapore, 3 July 2002& The Monetary Authority of Singapore ("MAS") today released a consultation paper on the proposed capital framework for capital markets services (CMS) licence holders under the Securities & Futures Act 2001 (SFA) who are not members of Singapore Exchange Securities Trading Limited
- This will be aligned with the modular nature of the CMS licence, which will permit an intermediary to provide one or different combinations of regulated activities with a single licence. 3 MAS had announced on 17 April 2002 the introduction of a risk-based capital framework for CMS licence holders,
- This current consultation details the proposed capital requirements for non-member CMS licence holders who carry out one or more of the following regulated activities under the SFA: dealing in securities; trading in futures contracts; leveraged foreign exchange trading; advising on corporate finance;
- 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(9) FORM 6 AUDITORS CERTIFICATION - FOR A HOLDER OF A CAPITAL MARKETS SERVICES LICENCE I/We* report
- Form for capital markets services licensees to submit their auditor's certifications on their audited financial statement. This form must be submitted within five months from the end of the financial year. Form 6 should be completed and lodged online via FormSG .
- that in my/our* opinion, the statements specified in sub-paragraphs (a) to (b) of regulation 27(9) of the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations (Rg 13), as the case may be, lodged by ______
- MAS
- Media Releases
Last revised date:
- The Monetary Authority of Singapore (MAS) today announced the issuance of subsidiary legislation under the Securities and Futures Act 2001, to implement the new risk-based capital requirements for holders of Capital Markets Services (CMS) Licences with effect from 1 October 2002.
- ) sets out the base capital requirements for the grant or renewal of a CMS Licence to any corporation under Part 4 of the SFA.
- Media Release for the Implementation of the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations 2002 Singapore 24 September 2002.
- MAS
- Notices
Last revised date:
- Requirements for specified capital markets services licensees (“CMSLs”) and specified exempt CMSLs on anti-money laundering and countering the financing of terrorism (“AML/CFT”) in relation to their cross-border arrangements with Foreign Offices (“FOs”) under the Securities and Futures (Exemption for
- This notice applies to - Capital markets services licensees (excluding venture capital fund managers); - Exempt futures brokers and exempt over-the-counter derivatives brokers; and - Banks, merchant banks, finance companies and insurers that have entered into a cross-border arrangement with their FOs
- Entity that is a specified exempt person who is a direct life insurer exempted from the requirement to hold a capital markets services licence under section 99(1)(d) of the SFA, MAS Notice 314; and Specified Regulated Entity means a specified licence holder or a specified exempt person
- MAS
- Consultations
Last revised date:
- Deposit to be lodged in respect of capital markets services licence 83.
- Grant of capital markets services licence 74.(cid:190) (1) A corporation may make an application to the Authority for a capital markets services licence to carry on business in one or more regulated activities.
- Removal of chief executive officer or director of holders of capital markets services licence 85.
- MAS
- Enforcement Actions
Last revised date:
- The Monetary Authority of Singapore (MAS) has revoked the Capital Markets Services (CMS) Licence of CT Bright Investment Pte. Ltd. (CTBI) with effect from 9 December 2019, due to numerous breaches of MAS’ rules, licence conditions, and failure to comply with MAS’ written direction.
- (2)(da) of the SFA, the Authority may revoke a capital markets services licence if it appears to the Authority that the capital markets services licence holder has failed to satisfy any of its obligations under or arising from the SFA or any written direction issued by the Authority under the SFA.
- Pursuant to section 95(2)(da) of the SFA, MAS has revoked CTBI’s CMS licence, for failing to comply with MAS’ written direction to address the breaches of regulations and licence condition and to improve its internal controls. ***** Additional Information Section 95(2)(da) of the SFA Under section 95
- MAS
- Exemptions
Last revised date:
- Due to their ownership structures, these SFOs were not able to rely on the existing exemption from licensing under the Exemption from requirement to hold a Capital Markets Services Section 99(1)(h) of the SFA, read with 13 23 July, 31 August and 27 September -------- (CMS) licence
- Exemption from requirement to hold a Capital Markets Services (CMS) licence for dealing in securities in respect of the transmission of customers orders in writing to another person for the purchase and sale of units in an exchange- traded fund (ETF) and/or securities (other than ETFs
- MAS granted exemption to one Financial Adviser (FA) 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 sale of units in an ETF and/ or securities (other than ETFs).
- MAS
- Media Releases
Last revised date:
- Commonly known as the “Toothbrush Orchid”, the individual flowers of the Dendrobium secundum, each measuring 1.8 cm long and 0.6 cm wide, are arranged in rows facing one direction.
- The vanilla–scented flowers measure about 1.2 cm to 1.5 cm in diameter. Each orchid bears many sprays of stems with thick, flattened and triangular leaves arranged in alternating rows. ii.
- Depending on the size of the orchid plant, each flower spray can measure up to about 12 cm in length. 3 A portion of the circumference of each coin is semi-rimless, which is a unique feature of the coins in the series.
- MAS
- Consultations
Last revised date:
- in the name of and on behalf of the holder of a capital markets services licence and shall be deemed to be an agent of the holder of a capital markets services licence
- holder of a capital markets services licence, for the person to remain in the appointment
- under the Companies Act or the constitution of the holder of a capital markets services licence.