Showing 590 Documents for "CMS"
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- MAS
- FAQs
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.
- MAS
- Guidelines
Last revised date:
- These guidelines apply to: Capital markets services licensees. Banks, merchant banks, finance companies and insurers conducting regulated activities under the Securities and Futures Act.
- Please also include the foreign related corporations experience (in terms of the number of years) in the proposed capital markets services activity. [Amended on 1 July 2005] ba.
- Please also include the foreign related corporations experience (in terms of the number of years) in the proposed capital markets services activity. [Amended on 1 July 2005] ba.
- 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 years. 4 Mr Lee Boon Ngiap, Assistant Managing Director (Capital Markets), MAS, said: “The pre-open phase was introduced to facilitate orderly
- has also issued a prohibition order to Mr Tan under 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:
- 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 years. 4 Mr Lee Boon Ngiap, Assistant Managing Director (Capital Markets), MAS, said: “The pre-open phase was introduced to facilitate orderly
- has also issued a prohibition order to Mr Tan under 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
- PDPC
- Commission's Decisions
Last revised date:
- and into the following Organisations which Employee K had worked at after leaving Jiwon to determine if indeed Employee K was using the Personal Data from Jiwon’s CMS: -------- Jiwon Hair Salon Pte.
- Jiwon alleged that a former employee (“Employee K”) had misappropriated the names and contact numbers (collectively referred to as the “Personal Data”) of its customers by surreptitiously accessing its customer management system (“CMS”). 3 An investigation was conducted into Jiwon’s complaint
- MAS
- FAQs
Last revised date:
- weather derivatives contract) be required to hold a capital markets services licence?
- weather derivatives) will not be required to hold a capital markets services licence. Similarly, any person which provides financial advisory services for such derivatives contracts will not be required to hold a financial advisers licence under the amended FAA.
- MAS
- Media Releases
Last revised date:
- Members of the public can first verify if an online trading platform has a valid capital markets services licence issued by MAS by checking MAS’ Financial Institutions Directory .
- Under Section 82 of the Securities and Futures Act (SFA), a capital markets services licence is required for an entity to carry on business in a regulated activity, including dealing in CFDs in securities and foreign exchange contracts.
- MAS
- Notices
Last revised date:
- finance company licensed under the Finance Companies Act (Cap 108); (iv) a registeredlicensed insurer (other than a captive insurer) under the Insurance Act (Cap 142);; and -------- Notice on Lending of Singapore Dollar to Non-Resident Financial Institutions 3 (v) a person holding a capital
- The classes of FIs subject to this policy and the applicable MAS Notices are: Financial Institutions Banks (except Representative offices) Merchant Banks Finance Companies Insurers (except captive insurers) Capital Markets Services Licence Holder (applicable only to licensees regulated to
- merchant bank approved under section 28 of the Monetary Authority of Singapore Act (Cap 186); (iii) a finance company licensed under the Finance Companies Act (Cap 108); (iv) a registered insurer (other than a captive insurer) under the Insurance Act (Cap 142); and a person holding a capital
- MAS
- Enforcement Actions
Last revised date:
- Mr Leissner will be prohibited for a period of 10 years from: (i) performing any regulated activity under the Securities and Futures Act and (ii) taking part, directly or indirectly, in the management of any capital market services firm in Singapore.
- performing any regulated activity or acting as a representative in respect of any regulated activity as stipulated under the Securities and Futures Act; (ii) taking part, directly or indirectly, in the management of, acting as a director of, or becoming a substantial shareholder of, any holder of a capital
- MAS
- Media Releases
Last revised date:
- Mr Leissner will be prohibited for a period of 10 years from: (i) performing any regulated activity under the Securities and Futures Act and (ii) taking part, directly or indirectly, in the management of any capital market services firm in Singapore.
- performing any regulated activity or acting as a representative in respect of any regulated activity as stipulated under the Securities and Futures Act; (ii) taking part, directly or indirectly, in the management of, acting as a director of, or becoming a substantial shareholder of, any holder of a capital