Showing 590 Documents for "CMS"
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- MAS
- Media Releases
Last revised date:
- The transitional arrangements issued today pertain to: Securities and Futures (Capital Markets Services Licence and Representative's Licence) (Transitional and Savings Provisions) Regulations 2002.
- The remaining Part II (Markets), Part III (Clearing Facilities), Part IV (Capital Markets Services Licence and Representative's Licence), Part V (Books, Customer Assets and Audit), Part VI (Conduct of Business), Part VII (Disclosure of Interests), Part XI (Investor Compensation Scheme), Part XII (Market
- MAS
- Exemptions
Last revised date:
- The exemptions were to allow the REIT managers to offer new units in the REITs to accredited investors and other investors in reliance on the exemption under section 305 of the SFA, and are granted on condition that the REIT managers hold a Capital Market Services (CMS) licence
- MAS
- Consultations
Last revised date:
- D End-Users 5.15 Respondents agreed with the proposal not to regulate end-users as CMS licensees.
- Question 34: MAS seeks views on the proposal not to regulate end- users as CMS licensees under the SFA.
- MAS will separately consult on the admission criteria for the granting of a CMS licence in respect of dealing in derivative contracts.
- MAS
- Enforcement Actions
Last revised date:
- market services licence or any person exempt from holding a capital market services licence under section 99(1) of the SFA in Singapore, for a period of two (2) years with effect from 29 January 2016. 5 This matter was referred to MAS by Singapore Exchange Securities Trading Limited. * *
- issued a prohibition order to Mr Wong pursuant to section 101A of the SFA, prohibiting him from (i) conducting business in any regulated activity under the SFA or acting as a representative in respect of any regulated activity under the SFA; and (ii) taking part in the management of any holder of a capital
- MAS
- Media Releases
Last revised date:
- These amendments aim to enhance MAS’ supervisory oversight of capital markets services and financial advisers’ licence holders, and the responsiveness of MAS’ regulatory framework to market innovation. 3 MAS has also released the draft Amendment Bills to the SFA and the FAA, the Draft Securities and
- Securities and Futures (Licensing and Conduct of Business)(Amendment) Regulations 2007 (18 KB) & Annex 3 (18.9 KB) Part IV: Draft Financial Advisers (Amendment No. 2) Regulations 2007 (11.3 KB) & Annex 4 (12.6 KB) Part V: Draft Securities and Futures (Financial and Margin Requirements for Holders of Capital
- MAS
- Notices
Last revised date:
- from having to hold a capital markets services licence.
- ) Regulations (Rg.10, 2004 Ed.) from having to hold a capital markets services licence.
- Holders of a capital markets services licence under section 82 of the Securities and Futures Act (Cap. 289). 6.
- MAS
- FAQs
Last revised date:
- For the purpose of this Notice, exempt persons refer to persons exempted from holding a capital markets services [CMS] licence under paragraphs 3(1)(d), 3A(1)(d) and 7(1)(b) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations
- MAS
- Consultations
Last revised date:
- COMMENTS RELATING TO PARTS IV TO VII - CAPITAL MARKETS SERVICES ["CMS"] LICENCEES 2.
- Such entity should be exempted from the requirement to hold a CMS licence. MAS' Response: The purpose of licensing requirements is to ensure that only fit and proper persons are admitted to the industry and that CMS licence holders abide by certain business conduct rules.
- This is especially so in its application to CMS licence holders, whose obligations to keep books and records are extensive. It is suggested that such translations be provided to MAS on request and within a specified time.
- MAS
- Enforcement Actions Media Releases
Last revised date:
- He was sentenced to 33 months imprisonment. 5 Mr Loh’s actions have given MAS reason to believe that he will not perform financial advisory and capital markets services honestly.
- the management of, acting as a director of, or becoming a substantial shareholder of any financial advisory firm under the Financial Advisers Act 2001; and (ii) performing any regulated activity or from taking part in the management, acting as a director, or becoming a substantial shareholder of any capital
- MAS
- Media Releases
Last revised date:
- set out in paragraph 47 of the Guidelines. 2 The activities of passing of trade orders and portfolio re-balancing are deemed dealing in capital markets products and conducting fund management activities respectively under the SFA, and would ordinarily require the providers of such services to hold a capital
- suitable for the digital advisers’ product offerings. 1 c) Digital advisers that operate as financial advisers will be allowed to pass their clients’ trade orders to brokerage firms for execution, and re-balance their clients’ portfolios in collective investment schemes, without the need for an additional capital