Showing 590 Documents for "CMS"
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- PDPC
- Commission's Decisions
Last revised date:
- complaint 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 Jiwons 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 Jiwons
- MAS
- Guidelines
Last revised date:
- [Updated on 7 Jun 2019] 13 Are licensed and exempt financial advisers required to hold a CMS licence for dealing in capital market products for facilitating the execution of investments on behalf of its clients?
- [Updated on 8 October 2018] 14 Are licensed and exempt financial advisers required to hold a CMS licence for fund management for portfolio rebalancing activities? Licensed and exempt financial advisers may rebalance clients portfolios to address portfolio drift.
- In view of this, financial advisers are exempted from the need to hold a CMS licence for dealing in specified products other than OTC derivative contract if they merely assist clients to pass on their orders concerning any specified products to brokerage firms for execution, provided that
- MAS
- Consultations
Last revised date:
- Question 2 Should the tier structure requirements be extended to all FA firms, such as banks, merchant banks, finance companies, insurance brokers and capital markets services structure? If not, what are the reasons?
- Question 2 Should the tier structure requirements be extended to all FA firms, such as banks, merchant banks, finance companies, insurance brokers and capital markets services licence holders, which operate a tier structure? If not, what are the reasons?
- exempt under section 23(1) from holding a financial advisers licence. 2 For the purpose of this paper, FA firms refers to all financial advisers, i.e. licensed financial advisers, and exempt financial advisers such as insurers, banks, merchant banks, finance companies, insurance brokers and capital
- MAS
- Forms and Templates
Last revised date:
- Please provide the name of the CMSL partner(s) that the applicant will be working/intends to work with.
- Portfolio execution and rebalancing 3.1 Clarify whether the LFA will assist clients to pass on their buy or sell orders (e.g. collective investment schemes (CIS), stocks, bonds) to a licensed/exempt capital markets services holder (CMSL) authorised to conduct the activity of dealing in capital markets
- [Note: An entity that conducts portfolio rebalancing activities for clients, other than auto-rebalancing for CIS only, is deemed to be conducting fund management activities, and requires the entity to be licensed as a CMSL for fund management, unless exempted.]
- MAS
- Media Releases
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
- Notices
Last revised date:
- of the Securities and Futures Act 1.1 (Cap. 289) [the Act] and applies to all holders of a capital markets services licence for real estate investment trust management [REIT managers].
- : SFA04-N14 : 1 January 2016 Notice No Issue Date NOTICE TO ALL HOLDERS OF A CAPITAL MARKETS SERVICES LICENCE FOR REAL ESTATE INVESTMENT TRUST MANAGEMENT ______________________________________________________________________ 1 This Notice is issued pursuant to section 101
- MAS
- Consultations
Last revised date:
- Composition of the Board of a holder of capital markets services licence for real estate investment trust management 13D.(1) The holder of a capital markets services licence for real estate investment trust management shall not appoint any of the following persons as the
- 101 of the Securities and Futures Act 1.1 (Cap. 289) [the Act] and applies to all holders of a capital markets services licence for real estate investment trust management [REIT managers].
- B. 7.2 Under the Guidelines on Criteria for the Grant of a Capital Markets Services Licence other than for Fund Management [Guidelines], a REIT manager managing a REIT listed on the Singapore Exchange Limited is expected to abide by the CG Code.
- MAS
- Enforcement Actions
Last revised date:
- All three individuals are prohibited from (i) providing any capital markets and financial advisory services; and (ii) taking part in the management of, acting as a director of, or becoming a substantial shareholder of any capital markets services or financial advisory firm in Singapore.
- The proposed POs will prohibit: (a) Mr Ang, for a period of 6 years, from (i) providing any capital markets and financial advisory services; and (ii) taking part in the management of, acting as a director of, or becoming a substantial shareholder of any capital market services and financial advisory
- 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 NOTICE OF COMMENCEMENT OF BUSINESS / ADDITIONAL REGULATED ACTIVITY(S) LODGED PURSUANT TO REGULATION 14(4) BY A PERSON EXEMPTED FROM HOLDING A CAPITAL MARKETS SERVICES LICENCE UNDER SECTION
- MAS
- Circulars
Last revised date:
- .: CMI 01/2011 7 February 2011 [To All Holders of Capital Markets Services Licence] [To All Holders of Financial Advisers Licence] [To All Financial Institutions Exempt from Holding Capital Markets Services Licence] [To All Exempt Financial Advisers] Dear Sirs
- This circular applies to capital markets services licensees, banks, merchant banks, finance companies, insurers and financial advisers. It sets out the requirements on due diligence checks and documentation relevant to the fit and proper certification of their representatives.