Showing 590 Documents for "CMS"
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- MAS
- Circulars
Last revised date:
- 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
- Monetary Authority of Singapore Act (Cap 186); a finance company licensed under the Finance Companies Act (Cap 108); (ii) (iii) 2 -------- (iv) a registered insurer (other than a captive insurer) under the Insurance Act (Cap 142); and (v) a person holding a capital
- MAS
- Consultations
Last revised date:
- Markets Services (CMS) Licensing regime under the Securities and Futures Act 2001 (SFA) would apply to ESG rating providers.
- MAS seeks views on the proposal to bring ESG rating providers into the CMS licensing regime under the SFA when a regulatory framework is developed. Question 11.
- MAS seeks views on the proposal to bring ESG rating providers into the CMS licensing regime under the SFA when a regulatory framework is developed. ..16 Question 11.
- MAS
- Guidelines
Last revised date:
- management, and compliance with the applicable laws and regulations; 10 These include, but are not limited to, the Securities and Futures (Licensing and Conduct of Business) Regulations, Notice on Minimum Entry and Examination Requirements for Representatives of Holders of a Capital
- or the Central Depository System under the Securities and Futures Act, as the case may be, the functions involving the creation, sale and marketing of regulated products, regulated activities or membership, and any other material function; (vii) in relation to a holder of a capital
- markets services licence under the Securities and Futures Act, the functions involving any regulated activity specified in the Second Schedule of the Securities and Futures Act, and any other material function; (viii) in relation to a registered fund management company exempted from holding a capital
- MAS
- Consultations
Last revised date:
- markets services (CMS) licence under section 82(1) of the SFA, capturing MIS Singapore.
- Would the regime apply to capital markets services licence holders for venture capital fund management?
- For Capital Markets Services firms, MAS approval is already required for CEO and directors under SFR (LCB) Reg 12.
- MAS
- Consultations
Last revised date:
- MAS Response 5 For example, where a capital markets services (CMS) licence holder is restricted to serving only AI and/or II, any arrangements with its FRCs should similarly be restricted to serving only AI and/or II (and should not include
- For example, where a CMS licence holder is restricted to serving only AI and/or II, any arrangements with its FRCs should similarly be restricted to serving only AI and/or II (and should not include EI).
- We would like to ask the Authority to share the submission time, whether the certification would be submitted together with SF(FMR) Regs* related forms, for example, Auditors Report For A Holder of A Capital Markets Service Licence (Form 5).
- MAS
- Consultations
Last revised date:
- Licence (CMSL) holders are IIs.
- FAs are also unlikely to trade in their own proprietary capacity, and would likely be a CMSL holder, licensed bank or insurer and hence already qualify as an II. Consistent with the look-through approach for AIs, MAS agrees that entities 7.6 wholly-owned by one or more IIs should also be IIs.
- MAS proposed amendments to the II definition to include a CMSL holder regardless of the regulated activities the licensee is authorised to provide. 53 These include systemically important payment systems, central securities depositories, securities settlement systems, central
- MAS
- Speeches
Last revised date:
- There are no global capital standards for capital markets services providers. The International Organisation of Securities Commission (“IOSCO”) has, however, set out principles for the solvency of securities market intermediaries.
- Based on these principles, MAS has implemented a risk-based capital framework for capital markets services licensees. Strengthening Liquidity Buffers The second important area of reform is setting – for the first time – international standards for bank liquidity.
- MAS
- Enforcement Actions
Last revised date:
- She was charged under section 82(1) of the SFA for carrying on business in fund management, without holding a capital market services licence granted by the Monetary Authority of Singapore. 3 If convicted of the charge under section 82(1) of the SFA, Ms Lee faces a fine up to $150,000 or imprisonment
- MAS
- Forms and Templates
Last revised date:
- Entities that intend to apply for a capital markets services licence to conduct fund management (including as a venture capital fund manager) should submit Form 1A or 1V instead. View the user guide (1.54 MB) . To access this form, you will require Adobe Acrobat Reader version 9.4.4 or above.
- MAS
- Forms and Templates
Last revised date:
- Notice for persons who have suffered pecuniary losses in relation to any entrusted money or property to inform MAS of their claims against the security deposit of certain capital markets services licensees dealing in capital markets products.