Showing 590 Documents for "CMS"
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- MAS
- Media Releases
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
- Consultations
Last revised date:
- Monetary Authority of Singapore 5 -------- 4 5 Records of Communication on Orders and Trades 4.1 Regulation 39(3) of Securities and Futures (Licensing and Conduct of Business) Regulations (SF(LCB)R) requires the holder of a Capital Markets Services licence (CMSL) to keep a written
- The proposed Notice will take effect 6 months from the date of issuance. 1 Exempt FI means banks, merchant banks and finance companies who are exempt from holding a capital markets services licence under section 99(1)(a), (b) and (c) of
- 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, a licensed financial adviser or an exempt financial adviser under section
- activities under the SFA is selected] is aware that the individual who is the subject of this notification must satisfy all examination requirements under the Notice on Minimum Entry and Examination Requirements for Representatives of Holders of Capital
- MAS
- Enforcement Actions
Last revised date:
- He is also prohibited from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under the SFA and any financial advisory firm under the FAA. 4 Between January 2011 and June 2013, Mr Lu used the OCBC accounts of a friend to place
- He is also prohibited from taking part in the management, acting as a director or becoming a substantial shareholder of any capital market services firm under the SFA and any financial advisory firm under the FAA. 8 Mr Tan’s friend, a customer of UOB, had entrusted her UOB bank accounts, internet banking
- MAS
- Enforcement Actions Media Releases
Last revised date:
- Singapore, 15 July 2022… Ms Lee Ying Hui (Lee) was today convicted and fined $20,000 for carrying out fund management business without a capital markets services licence. 2. Ms Lee pleaded guilty to the charge under section 82 of the Securities and Futures Act (SFA).
- information (A) Section 82 of the Securities and Futures Act (Cap. 289, Rev Ed 2006) (1) Subject to subsection (2) and section 99, no person shall, whether as principal or agent, carry on business in any regulated activity or hold himself out as carrying on such business unless he is the holder of a capital
- MAS
- Consultations
Last revised date:
- They are expected to have plans to apply for a CMS or FA licence in Singapore when meeting with MAS.
- For instance, fees relating to the application for a Capital Markets Services licence (CMSL) and for renewals and variations of a CSML are prescribed in Regulation 6 of the Securities and Futures (Licensing and Conduct of Business) Regulations.
- and FA Licences Section A: Appointment of D irectors by Holders of CMS Licences Holders of CMS licences and FA licences are required under Section 96 of the SFA and Section 56 of the FAA to seek MAS prior approval for the appointment of directors.
- MAS
- Media Releases
Last revised date:
- The survey found that 70% of the representatives 2 have passed. 2 The survey covered 24 financial institutions, comprising the large life insurance companies, banks, capital markets services licence holders and licensed financial advisers involved in advising or arranging life insurance products for
- representatives who have not passed Module 9A: - Number of representatives who have attempted Module 9A at least once but did not succeed - Number of representatives who have not attempted Module 9A 3 Licensed Financial Advisers 4 Capital
- MAS
- Forms and Templates
Last revised date:
- In this Form, exempt financial institution 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). All questions must be answered and all fields must be filled.
- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (Rg 10) NOTICE OF CHANGE OF PARTICULARS LODGED PURSUANT TO REGULATION 14(4) BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION 99(1) (a), (b), (c)
- MAS
- Circulars
Last revised date:
- CMI 02/2008 Our Ref: CMI CMS 01/2003 PT10 28 July 2008 [To holders of a Capital Markets Services License for fund management and exempt fund managers under paragraph 5(1)(d) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) R egulations]
- MAS
- Forms and Templates
Last revised date:
- In this Form, exempt financial institution 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).
- SECURITIES AND FUTURES ACT (Cap. 289) SECURITIES AND FUTURES (LICENSING AND CONDUCT OF BUSINESS) REGULATIONS (Rg 10) DECLARATION LODGED 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) FORM