Showing 590 Documents for "CMS"
Filter by
Sort by
- MAS
- Notices
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
- Guidelines
Last revised date:
- Definitions 108); d) a company or co-operative society that is licensed under the Insurance Act (Cap. 142) to carry on insurance business in Singapore; e) a holder of a capital markets services licence under the Securities and Futures Act (Cap. 289); and f) an entity carrying on any
- MAS
- Consultations
Last revised date:
- S 148/2006); dealer means a person who is the holder of a capital markets services licence under the Securities and Futures Act (Cap. 289) to deal in securities, and includes a person who is licensed, approved, authorised or otherwise regulated under the laws, codes or other
- MAS
- Speeches
Last revised date:
- Instead of trying to fit the range of capital market services into two basic classes of license, i.e. 'dealing' and 'investment advice', the new licensing framework is designed to accommodate individual slices of the capital market value chain.
- MAS
- Speeches
Last revised date:
- For instance, the current powers to issue POs only apply to persons who provide capital markets services, financial advisory services or insurance services.
- MAS
- FAQs
Last revised date:
- Securities and Futures Act Notice CMG-N02 persons who are approved under section All- approved exchanges; (a) licensed trade repositories; (b) (c) holders of a capital markets services licence; (d) recognised market operators which are incorporated in Singapore; and (e) 289 of
- MAS
- Consultations
Last revised date:
- SAS: Members are of the view that the proposed establishment and maintenance of such a register containing details of each trading representative who provides execution-related advice is redundant as this regulation applies only to CMS licensee representatives, whereby
- representative, as the case may be, for the advice rendered; expert investor has the same meaning as in section 4A(1)(b) of the Securities and Futures Act; [S 274/2008 wef 28/05/2008] [] Registered Fund Management Company means a corporation which is exempted from holding a capital
- MAS
- Circulars
Last revised date:
- CMI 02/2015 28 October 2015 [Last revised on 8 October 2018] To: Holders of a Capital Markets Services Licence for conducting the regulated activities of Dealing in Capital Markets Products under the Securities and Futures Act (Cap. 289) Dear Sirs ENHANCING ANTI-MONEY
- MAS
- Media Releases
Last revised date:
- FIs conducting corporate finance advisory activities are required to hold a capital markets services licence (CF Firms), unless otherwise exempted under Section 99 of the SFA.
- These banks may enter into the full range of banking businesses, including taking deposits, providing cheque services, lending and any other business that is regulated or authorised by MAS, such as private banking, insurance broking and capital market services.
- FIs conducting any of the following regulated activities are required to hold a capital markets services licence, unless otherwise exempted under Section 99 of the SFA (Exempt FIs): (i) Dealing in securities; (ii) Trading in futures contracts; (iii) Leveraged foreign exchange trading;
- MAS
- Monographs/Information Papers
Last revised date:
- FIs conducting corporate finance advisory activities are required to hold a capital markets services licence (CF Firms), unless otherwise exempted under Section 99 of the SFA.
- These banks may enter into the full range of banking businesses, including taking deposits, providing cheque services, lending and any other business that is regulated or authorised by MAS, such as private banking, insurance broking and capital market services.
- FIs conducting any of the following regulated activities are required to hold a capital markets services licence, unless otherwise exempted under Section 99 of the SFA (Exempt FIs): (i) Dealing in securities; (ii) Trading in futures contracts; (iii) Leveraged foreign exchange trading;