Showing 590 Documents for "CMS"
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- MAS
- Speeches
Last revised date:
- (b) Enhancing safeguards for retail customers’ moneys held with financial institutions (Section 104) 14 Currently, holders of capital markets service licence are permitted to withdraw customers’ moneys maintained in segregated trust accounts, subject to customers’ written authorisation.
- The amendments will also extend MAS’ powers to (i) revoke capital markets services licences; (ii) revoke status of an individual as a representative on the Public Register and (iii) impose POs to a wider range of situations, such as where directions issued under the SFA have been breached or where the
- MAS
- Circulars
Last revised date:
- CMI 04/2015 28 October 2015 To: Holders of a Capital Markets Services Licence for conducting the regulated activity of Advising on Corporate Finance under the Securities and Futures Act (Cap. 289), and Persons Exempted from the Requirement to Hold a Capital Markets Services Licence
- MAS
- Notices
Last revised date:
- Sets out requirements to conduct additional customer reviews or assessments for customers investing in specified investment products This notice applies to: Capital markets services (CMS) licensees. Banks, merchant banks and finance companies conducting regulated activities under the SFA.
- SFA04-N12 (Amendment) 2012] exempt financial adviser means a person who is exempt from holding a financial advisers licence under section 23(1)(a), (b), (c), (d) or (e) of the Financial Advisers Act (Cap. 110); exempt financial institution means a person who is exempt from holding a capital
- responsible person for the collective investment scheme; or -------- Notice on Sale of Investment Products ______ 6 (b) (c) in relation to an offer of any contract or arrangement in connection with leveraged foreign exchange, the holder of a capital
- MAS
- Consultations
Last revised date:
- These will include transactions made by: any bank, finance company, capital markets services licensee, insurer, the lending trust company, or any other Moneylenders Act which accepted an assignment of the policy as security for licensed under institution the purposes of any credit
- for monetary consideration, but does not include any of the following: -------- (a) a bank licensed under the Banking Act (Cap. 19), a finance company licensed under the Finance Companies Act (Cap. 108), an insurer registered under the Insurance Act (Cap. 142), a holder of a capital
- MAS
- Circulars
Last revised date:
- CMI 03/2015 28 October 2015 To: Holders of a Capital Markets Services Licence for conducting the regulated activity of Fund Management under the Securities and Futures Act (Cap. 289), and Persons Exempted from the Requirement to Hold a Capital Markets Services Licence under
- MAS
- Consultations
Last revised date:
- markets services licence; (g) A person who is exempted from the requirement to hold a capital markets services licence for fund management pursuant to paragraph 5(1) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg. 10); or such other
- markets services licence; (h) A person who is exempted from the requirement to hold a capital markets services licence for fund management pursuant to paragraph 5(1) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg. 10); or such other
- approved as a financial institution under the Monetary Authority of Singapore Act (Cap. 186); any finance company licensed under the Finance Companies act (Cap. 108); any company or society registered under the Insurance Act (Cap. 142); a trustee approved under section 289; a holder of a 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 applicant 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
- [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
- Notices
Last revised date:
- section 28 of the Monetary Authority of Singapore Act (Cap 186); (ii) (i) (iii) a 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 (v) a person holding a capital
- 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 (v) and a person holding a capital
- MAS
- Notices
Last revised date:
- [SFA 04/13-N01 (Amendment) 2020] This Notice applies to - Application 5 (a) (b) the responsible persona manager of an unit trustAuthorised CIS; or any holder of a capital markets services licence, exempt person, or representative of a holder of a capital markets services licence
- MAS
- Consultations
Last revised date:
- Formatted: Justified, Right: 0.08 cm, Don't adjust right indent when grid is defined, No widow/orphan control, Don't adjust space between Latin and Asian text, Don't adjust space between Asian text and numbers Formatted: Indent: Left: 1.27 cm, First line: 0 cm, Tab stops: Not at 1.25 cm + 2 cm
- Page 26 of 45 Formatted: Indent: Left: 1.27 cm, Space Before: 0 pt, After: 0 pt Formatted: Space Before: 0 pt, After: 0 pt, Numbered + Level: 1 + Numbering Style: a, b, c, + Start at: 1 + Alignment: Left + Aligned at: 1.27 cm + Tab after: 2.54 cm + Indent at: 2.54 cm, No widow/orphan
- , No bullets or numbering Formatted: Body Text, Left, Indent: Left: 0 cm, Hanging: 1.25 cm, No widow/orphan control, Tab stops: Not at 1.25 cm + 2.5 cm Formatted: Font: 13 pt -------- (a) access the following types of personal data of that individual, that is in the possession or