Showing 590 Documents for "CMS"
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- MAS
- Enforcement Actions
Last revised date:
- They are 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 The POs against Mr Lee and Mr Ong were issued under section 101A of the SFA and section
- MAS
- Enforcement Actions
Last revised date:
- In addition, Ms Lau, Mr Goh and Mr Teo are prohibited from carrying out any regulated activities and from taking part in the management, acting as a director, or becoming a substantial shareholder of any capital market services licensee under the Securities and Futures Act (SFA).
- MAS
- Exemptions
Last revised date:
- This notice applies to - Licensed financial advisers; and - Capital markets services licensees, banks, merchant banks, finance companies and insurers that have entered into cross-border arrangements with their FOs to provide any financial advisory service (other than advising others by issuing or promulgating
- MAS
- Media Releases
Last revised date:
- They are 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 The POs against Mr Lee and Mr Ong were issued under section 101A of the SFA and section
- MAS
- Codes
Last revised date:
- This Code applies to holders of a capital markets services licence in respect of providing credit rating services (individually, CRA) and, where appropriate, to their representatives and employees. The Code is non-statutory in nature.
- Securities and Futures Act (Cap. 289); credit rating has the same meaning as in Part II of the Second Schedule to the Act; credit rating activities means data and information analysis and the evaluation, approval, issuing and review of credit ratings; CRA means a holder of a capital
- MAS
- Speeches
Last revised date:
- As an international financial centre, Singapore can offer the necessary breadth and depth of banking and capital market services to Chinese corporates – from advice on regional markets to funding and capital management solutions. Many Chinese corporates are already doing so.
- MAS
- Forms and Templates
Last revised date:
- Form for specified capital markets services licensees (“CMSLs”), specified exempt CMSLs, licensed financial advisers and specified exempt financial advisers to submit their annual declaration for cross-border arrangements notified under the following Exemption Regulations: - Securities and Futures (Exemption
- MAS
- Circulars
Last revised date:
- CMI 13/2021 31 May 2021 To: Chief Executive Officers of all Capital Markets Services Licence Holders for the Regulated Activity of Fund Management, and Registered Fund Management Companies under the Securities and Futures Act (Cap. 289) (SFA) Dear Sir/Madam
- MAS
- Forms and Templates
Last revised date:
- Revised 8 October 2018 3 -------- is satisfied that the individual meets all the requirements under the Notice on Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services Licence and Exempt Financial Institutions [Notice No.
- MAS
- Speeches
Last revised date:
- For example, while the risks of a securities lending transaction apply to all financial institutions, there are differences in the regulatory requirements imposed on the different sectors such as insurers and capital market services licensees.