Showing 590 Documents for "CMS"
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- MAS
- Consultations
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- Consultation Paper VIEW DOCUMENT Consultation Paper on Granting of Temporary Capital Markets Services Representative's Licence (22.6 KB) Monetary Authority of Singapore Granting of Temporary Capital Markets Services Representatives Licence 1 Consultation Paper 20 March 2003 -------- INTRODUCTION
- Section 83 under Part IV of the Securities and Futures Act (Cap. 289)[SFA] requires any person acting as a representative of a Capital Markets Services licence in any regulated activity or hold himself out as doing so, to hold a Capital Markets Services Representatives
- Licensee The local CMS licensee is answerable and accountable for the conduct of the holder of the temporary representatives licence.
- PDPC
- Commission's Decisions
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- the CMS.
- ; (b) Restricted overseas IP addresses from connecting to the Organisations network; (c) Implemented two-factor authentication and enhanced the password complexity requirement for the CMS admin users via web access; and (d) Conducted a penetration test on the CMS.
- The Protection Obligation in respect of customer personal data processed by the CMS therefore fell solely on the Organisation. 5 The CMS from its initial design accepted any Python script requests that could be exploited for unauthorised exfiltration of customer personal data.
- MAS
- Speeches
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- MAS will also be able to ban persons issued with prohibition orders from directly or indirectly managing or influencing the business of CMS licence holders or exempt CMS licence holders.
- Capital Markets Licensing and Business Conduct Continuing Licensing Regime for Corporate Licence Holders 6 Under the current SFA, capital markets services ("CMS") licence holders have to renew their licences every three years.
- Control of Take-over of CMS Licence Holders 10 The Bill introduces a new requirement for potential controllers of a CMS licence holder. They will need to obtain MAS’ approval before entering into arrangements that could give them effective control of such licence holders.
- MAS
- Exemptions
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- Apply to all capital markets services licensees, registered fund management companies and exempt capital markets services entities.
- [CMI CMS 01/2016; AG/LEGIS/SL/289/2015/10 Vol. 1]
- (a); or (c) a committee of the holder of the capital markets services licence mentioned in subparagraph (a)
- MAS
- Consultations
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- The exemption criteria for the combined product knowledge modules CM-CMP (M6 and M6A), CM-CIS (M8 and M8A), and CM-LIP (M9 and M9A) will follow the current exemption criteria for the underlying product knowledge modules.
- CM-LIP CM-LIC CM-CMP 3.7.7 Appointed representatives who wish to deal in multiple products have the option to take the relevant combined modules, sit for fewer examinations and potentially complete their CMFAS requirements in a shorter period of time.
- - CMP CM- CIS CM- LIP CM- LIC Securities Exchange Derivatives Exchange RES Module (either) (either) Dealing in Securities Dealing in Exchange Traded Derivatives Dealing in OTC Derivatives Dealing in CIS Dealing in Spot FX for the purposes of leveraged FX trading Fund
- PDPC
- Commission's Decisions
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- to promptly remove unused accounts from the CMS system, the unused administrative CMS account with the user name admin and a weak password of admin remained in the CMS for about one year after Mrs G had left Finantech.
- K Boxs CMS stored and processed the personal data of its members. The CMS system also utilised FCKEditor a software library component which allowed the user to input formatted text.
- In this regard, while K Box had outsourced the developing, hosting and managing of its CMS system to Finantech, it was still the data controller and was ultimately responsible for the security of the CMS system. 29.
- MAS
- Consultations
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- Markets Services (CMS) licence holder.
- to hold a CMS licence for providing fund management services to a connected person.
- markets services (CMS) licence for providing fund management services to a connected person.
- MAS
- Exemptions
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- MAS granted exemptions to three IDBs from holding Capital Markets Services (CMS) licences for trading in futures -------- the SFA, read with section 337(2) of the SFA 2 Section 306(1) of the SFA brokers (IDBs) from requirement to hold a Capital Markets Services (CMS) licence for trading
- MAS granted exemptions to three Financial Advisers (FAs) from the requirement to hold CMS licences for dealing in -------- hold a Capital Markets Services (CMS) licence for dealing in securities in respect of the transmission of customers orders in writing to another person for the purchase
- and sale of units in an exchange- traded fund (ETF) and/ or securities (other than ETFs) Exemption from requirement to hold a Capital Markets Services (CMS) licence for fund management the SFA, read with section 337(2) of the SFA 24 October 2017 20 November 2017 securities
- MAS
- FAQs
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- How would a CMSL know which are the relevant financial returns that it needs to lodge through MASNET?
- If a CMSL encounters problems in submitting the financial returns, who should it contact? A9: If a CMSL encounters problems in logging in to MASNET, it should contact the MASNET Helpdesk at 6229 9688 or via email at helpdesk@mas.gov.sg.
- Provides guidance on the requirements and procedures relating to the lodgement of financial returns by capital markets services licensees.
- MAS
- Notices
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- Governs the lending of Singapore dollar by CMS licensees, including requirements for submitting monthly returns. This notice applies to capital markets services (CMS) licensees dealing in securities; units in CIS; and derivatives contracts where the underlying is a security.
- MAS Notice 1201 dated 20 March 2002 is cancelled. 1 1.1 This Notice issued pursuant to section 101 of the Securities and Futures Act (Cap 289) (the Act) governs the lending of S$ by Capital Markets Services Licence Holders to non-resident financial institutions.
- Appendix: Reporting format for outstanding credit facility (90.6 KB) : SFA 04-N04 (Amendment) 2021 Notice No Issue Date : 28 June 2021 NOTICE ON LENDING OF SINGAPORE DOLLAR TO NON- RESIDENT FINANCIAL INSTITUTIONS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCE Introduction