Showing 590 Documents for "CMS"
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- PDPC
- Commission's Decisions
Last revised date:
- The Organisation, as owner of the CMS, is responsible for identifying the omission and articulating its business requirements relating to the protection of personal data stored in the CMS.
- The Organisation, as owner of the CMS, should have included it as part of its personal data asset inventory and ensured that its data protection policies covered personal data held in the CMS.
- Had this been done, the Organisation would have identified these gaps in the business requirements for the CMS, which would have set it down the path to rectifying these gaps through one or both of the options discussed in the preceding paragraph.
- PDPC
- Commission's Decisions
Last revised date:
- The Organisation, as owner of the CMS, is responsible for identifying the omission and articulating its business requirements relating to the protection of personal data stored in the CMS.
- The Organisation, as owner of the CMS, should have included it as part of its personal data asset inventory and ensured that its data protection policies covered personal data held in the CMS.
- Had this been done, the Organisation would have identified these gaps in the business requirements for the CMS, which would have set it down the path to rectifying these gaps through one or both of the options discussed in the preceding paragraph.
- MAS
- Media Releases
Last revised date:
- MAS Capital Markets Services Licensing Regime: The Securities and Futures Act was amended on 1 Aug 2008 to implement a licensing regime for REIT Managers.
- The admission requirements for REIT Managers are set out in the Guidelines on the Criteria for the Grant of a Capital Markets Services Licence and Representative's Licence, available on MAS' website. ***
- MAS has also revised the Appendix to remove the requirement for REIT managers seeking authorisation for a new REIT to submit information in a prescribed form given that REIT managers are now subject to the capital markets services licensing regime. 3 In mandating AGMs for REITs, MAS had considered
- MAS
- Exemptions
Last revised date:
- For example, this refers to MAS Notice SFA 04-N02 for a holder of a capital markets services licence.
- a capital markets services licence under section 99(1)(d) of the SFA, MAS Notice 314; and Specified Regulated Entity means a specified holder of a capital markets services licence or a specified exempt person who has entered into a cross-border arrangement with its FRC.
- from the requirement to hold a capital markets services licence under section 99(1)(c) of the SFA, MAS Notice 824; and in relation to a Specified Regulated Entity that is a specified exempt person who is a direct life insurer exempted from the requirement to hold a capital markets services licence
- MAS
- Consultations
Last revised date:
- The operator would be required to hold a capital markets services (CMS) licence under the SFA. The requirement under the FAA may also apply where financial advice is provided to investors who wish to purchase the securities. 5.
- Further, intermediaries which deal in securities, including an intermediary operating an SCF platform which facilitates offers of securities, are required to hold a Capital Markets Services (CMS) licence under the SFA, unless exempted.
- Base Capital 2.5 Dealing Licensees are subject to base capital requirements stipulated in the First Schedule to the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations.
- MAS
- Enforcement Actions
Last revised date:
- ). 2 On 13 March 2017, MAS had issued a 10-year PO against Mr Leissner, a former director of Goldman Sachs (Singapore) Pte., to prohibit him from (i) performing any regulated activity under the Securities and Futures Act (SFA), and (ii) taking part, directly or indirectly in the management of any capital
- This is in addition to the prohibition from performing any regulated activity under the SFA, and taking part, directly or indirectly, in the management of any capital markets services firm in Singapore that was stipulated in the original PO. 6 At its Annual Report Media Conferences in 2016 and 2017
- criminal actions against him, MAS has decided to vary the PO against him under section 101C of the SFA, by: (i) extending the duration of the PO to a lifetime prohibition; and (ii) expanding the scope of the PO to also prohibit him from acting as a director of, or becoming a substantial shareholder or a capital
- MAS
- Media Releases
Last revised date:
- ). 2 On 13 March 2017, MAS had issued a 10-year PO against Mr Leissner, a former director of Goldman Sachs (Singapore) Pte., to prohibit him from (i) performing any regulated activity under the Securities and Futures Act (SFA), and (ii) taking part, directly or indirectly in the management of any capital
- This is in addition to the prohibition from performing any regulated activity under the SFA, and taking part, directly or indirectly, in the management of any capital markets services firm in Singapore that was stipulated in the original PO. 6 At its Annual Report Media Conferences in 2016 and 2017
- criminal actions against him, MAS has decided to vary the PO against him under section 101C of the SFA, by: (i) extending the duration of the PO to a lifetime prohibition; and (ii) expanding the scope of the PO to also prohibit him from acting as a director of, or becoming a substantial shareholder or a capital
- MAS
- Consultations
Last revised date:
- Arrangements involving the foreign branches or foreign head office of a CMS licence holder or an entity exempted under section 99(1)(a), (b), (c) or (d) of the SFA, do not fall within the scope of paragraph 9 because paragraph 9 does not apply in such circumstances2.
- Page 3 of 13 -------- Singapore, or wholly outside Singapore which has a substantial and reasonably foreseeable effect in Singapore, to hold a capital markets services licence to carry on such business, unless he has received the appropriate exemption from the Authority.
- (Cap. 289) [SFA], no person shall, whether as principal or agent, carry on business in any regulated activity, specified in the Second Schedule of the SFA, or hold himself out as carrying on such business for any activity regulated under the SFA, unless he is a holder of a capital
- MAS
- Consultations
Last revised date:
- Approval of chief executive officer and director of holder of capital markets services licence 96.
- Exemption from Licensing Currently, financial advisers ("FAs") licensed under the Financial Advisers Act ("FAA") are exempted from the requirement to hold a capital markets services licence ("CMS licence") under section 99(1)(e) of the Securities and Futures Act ("SFA") in respect of any regulated activity
- (6) No criminal or civil liability shall be incurred by (a) a holder of a capital markets services licence; or (b) any person acting on behalf of the holder of a capital markets services licence, in respect of anything done or omitted to be done with reasonable care
- MAS
- Media Releases
Last revised date:
- Measuring at 4 cm to 5 cm across, these white flowers are highlighted with a subtle tint of yellow in the throat. This tropical orchid is one of the most common native orchids that can be seen in Singapore. 3 A portion of the circumference of each coin is semi-rimless.
- These individual flowers, measuring 2.5 cm long and 8 mm across, form a semi-circle cluster arrangement. The flowers are yellow with flushed red and purple highlights at the base of the petals. This species flowers throughout the year and peak in bloom during the rainy season.