Showing 590 Documents for "CMS"
Filter by
Sort by
- MAS
- Guidelines
Last revised date:
- Holder of Capital Markets Services Licence (CMSL) A CMSL holder that submits an application to register an eligible professional as its Recognised Representative must demonstrate that it has the requisite policies, procedures and controls to monitor the activities and the conduct
- Cessation of activities: Where a Recognised Representative ceases to act on behalf of a CMSL holder, the CMSL holder must submit the relevant form to the SC within 14 calendar days from the effective cessation date.
- In the event the eligible professional wishes to act as a Recognised Representative for another CMSL holder, the other CMSL holder must submit a fresh application to the SC to register him as a Recognised Representative.
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 25 ANNUAL DECLARATION LODGED PURSUANT TO PARAGRAPH 7(6)(d) OF THE SECOND SCHEDULE TO THE REGULATIONS BY PERSON EXEMPTED FROM HOLDING CAPITAL MARKETS SERVICES LICENCE TO CARRY ON BUSINESS IN
- ADVISING ON CORPORATE FINANCE UNDER PARAGRAPH 7(1)(b) OF THE SECOND SCHEDULE TO THE REGULATIONS ANNUAL DECLARATION LODGED PURSUANT TO PARAGRAPH 7(6)(d) OF THE SECOND SCHEDULE TO THE REGULATIONS BY PERSON EXEMPTED FROM HOLDING CAPITAL MARKETS SERVICES LICENCE TO CARRY ON BUSINESS IN ADVISING ON CORPORATE
- In this Form exempt person refers to a person exempt from holding a capital markets services licence under paragraph 7(1)(b) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (the Regulations); key officer, in relation to an exempt person, means: a
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 33 ANNUAL DECLARATION LODGED PURSUANT TO PARAGRAPH 3(4)(c) AND/OR 3A(4)(c) OF THE SECOND SCHEDULE TO THE REGULATIONS BY PERSON EXEMPTED FROM HOLDING CAPITAL MARKETS SERVICES LICENCE TO CARRY
- THAT ARE FUTURES CONTRACTS AND/OR OVER-THE-COUNTER DERIVATIVES CONTRACTS UNDER PARAGRAPH 3(1)(d) AND/OR 3A(1)(d) OF THE SECOND SCHEDULE TO THE REGULATIONS ANNUAL DECLARATION LODGED PURSUANT TO PARAGRAPH 3(4)(c) AND/OR 3A(4)(c) OF THE SECOND SCHEDULE TO THE REGULATIONS BY PERSON EXEMPTED FROM HOLDING CAPITAL
- In this Form exempt person refers to a person exempt from holding a capital markets services licence under paragraph 3(1)(d) and/or 3A(1)(d) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (the Regulations); key officer, in relation to an exempt person
- MAS
- Forms and Templates
Last revised date:
- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS FORM 29 NOTICE OF CESSATION OF BUSINESS / ANY REGULATED ACTIVITY(S) PURSUANT TO REGULATION 14(4) BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION 99(1)
- (a), (b), (c) AND (d) NOTICE OF CESSATION OF BUSINESS / ANY REGULATED ACTIVITY(S) PURSUANT TO REGULATION 14(4) BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION 99(1) (a), (b), (c) AND (d) Explanatory Notes Explanatory Notes For the purposes of this Form exempt
- For the purposes of this Form exempt person refers to a person exempt from holding a capital markets services licence under section 99(1)(a), (b), (c), or (d) of the Securities and Futures Act (Cap. 289) (the Act) ; key officer, in relation to an exempt person, means: a director or equivalent person
- MAS
- Consultations
Last revised date:
- Monetary Authority of Singapore 6 -------- For the purpose of paragraph 1.1 above, CM refers to Tier 1 Capital as set out Section 2: CM 2.1 in Divisions 1 and 2 of Part VI.
- This is the CM in accordance with paragraph 2.1 of Annex 4A of the Notice. This is the sum of panels 3, 11, 16 and 19.
- provided the effective notional amount of the offsetting purchased credit protection is also reduced by any resulting positive change in fair value reflected in CM.
- MAS
- Consultations
Last revised date:
- It is also subject to review by the Attorney-Generals Chambers. -------- ANNEX 7 SECURITIES AND FUTURES ACT (CHAPTER 289) PART I PRELIMINARY PART IV HOLDERS OF CAPITAL MARKETS SERVICES LICENCE AND REPRESENTATIVES Removal of officer of holder of capital markets services licence 97
- .(1) Notwithstanding the provisions of any other written law (a) a holder of a capital markets services licence shall not, without the prior written consent of the Authority, permit a person to act as its executive officer; and (b) a holder of a capital markets
- chief executive officer (a) in relation to an approved exchange, a recognised market operator, a licensed trade repository, a licensed foreign trade repository, an approved clearing house, a recognised clearing house, an approved holding company, the holder of a capital
- MAS
- Media Releases
Last revised date:
- Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations 15 The Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations 2002 will be gazetted at a later date.
- The Regulations set the financial requirements for the grant or renewal of a Capital Markets Services Licence to any corporation under Part 4 of the SFA.
- Securities and Futures (Markets) Regulations 2002; Securities and Futures (Clearing Facilities) Regulations 2002; Securities and Futures (Licensing and Conduct of Business) Regulations 2002; Securities and Futures (Exemption from Requirement to hold Capital Market Services Licence) Regulations 2002;
- MAS
- Enforcement Actions
Last revised date:
- The Monetary Authority of Singapore (MAS) has revoked the capital markets services licence (CMSL) of One Asia Investment Partners Pte. Ltd. (OAIP) with effect from 11 April 2017.
- Accordingly, MAS has revoked OAIP’s CMSL under section 95(5)(a) of the Securities and Futures Act (Cap. 289) (SFA) on the grounds that OAIP is in the course of being wound up in Singapore. 3 The board of directors and the management team of OAIP had not demonstrated that they were able to manage OAIP
- MAS
- Enforcement Actions
Last revised date:
- /Capital-Markets-Services-CMS-Licence when they committed the offences.
- These monies, suspected to be criminal proceeds, were seized from the individuals in the course of investigations conducted by the Monetary Authority of Singapore (MAS). 3 Mr Leong, Mr E and Mr Toh, were representatives of Capital Market Services Licence holders https://www.mas.gov.sg/regulation/capital-markets
- Annex B – Applicable Regulations and Laws (A) Front Running – Priority of customers’ orders under Regulation 44 of the Securities and Futures (Licensing and Conduct of Business) Regulations Regulation 44 prohibits a representative of a holder of a capital markets services licence, when acting on his
- MAS
- Forms and Templates
Last revised date:
- MASNET is a closed communication network system operated by the Authority which a capital markets services licensee or a financial institution exempt from holding CMS Licence under section 99(1)(a), (b), (c) or (d) of the SFA needs to subscribe to for the purpose of lodging the form. 1. 2. 3.
- Form for capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS before an appointed representative adds other type(s) of regulated activity or activities.
- Revised 8 October 2018 3 -------- is satisfied that the individual meets all the requirements under the Notice on Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services Licence and Exempt Financial Institutions [Notice No.