Showing 5563 Documents for "MAS"
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- MAS
- Guidelines
Last revised date:
- Guidelines for Board and Senior Management on implementing fair dealing outcomes to customers. These guidelines apply to the board and senior management of financial institutions. They set out: Responsibilities of the Board and Senior Management in delivering five fair outcomes to customers. Best practices for the selection, marketing and distribution of investment products and the provision of advice for these products. Responsibilities for after-sales services and complaints handling. Explanation
- MAS
- Forms and Templates
Last revised date:
- Form for licensed trust companies to provide a breakdown of its net asset value or qualifying assets within 14 days from the grant of its licence and thereafter, within 5 months from the end of its financial year. TRUST COMPANIES ACT (CAP. 336) TRUST COMPANIES REGULATIONS 2005 MAINTENANCE OF NET ASSET VALUE AND QUALIFYING ASSETS UNDER REGULATION 12 Explanatory Notes FORM 5 1. 2. 3. 4. Please read the explanatory notes and questions carefully before completing the form. All questions must
- MAS
- Guidelines
Last revised date:
- Guidelines on the standards of conduct expected of financial advisers and their representatives when advising on structured deposits. These guidelines apply to all licensed financial advisers, exempt financial advisers and their representatives, who advise on any structured deposit. They do not apply where the advice is provided to accredited investors, institutional investors, expert investors or high net worth individuals. They set out the following standards of conduct: Proper usage of the term
- MAS
- Forms and Templates
Last revised date:
- Form for registered fund management companies or venture capital fund managers to provide business information and declaration of compliance with relevant provisions. This form must be submitted within one month from the end of the financial year. View the user guide (1.34 MB) . To access this form, you will require Adobe Acrobat Reader version 9.4.4 or above. If you have issues opening the form, please download the form to your computer and open it in Acrobat reader. Upon completion, please submit
- MAS
- Notices
Last revised date:
- Sets out the requirements to provide a Risk Fact Sheet to and obtain acknowledgement from customers prior to the opening of a customer account to trade in contracts for differences. This notice applies to capital markets services (CMS) licensees, and banks, merchant banks, finance companies and insurers which conduct the regulated activity of dealing in capital markets products with respect to contracts for differences for, by arrangement with, or on behalf of, a customer. Amendment Notes There are
- MAS
- Forms and Templates
Last revised date:
- Form for capital markets services licensees to submit supplementary information on their annual balance sheet and profit and loss accounts. This form must be submitted within five months from the end of the financial year. Form 4 is required to be lodged by a capital markets services licensee through MASNET MASNET is a closed communication network system operated by the Authority which the capital markets services licensee needs to subscribe to for the purpose of lodging the form. Unless otherwise
- MAS
- Forms and Templates
Last revised date:
- Risk disclosure statement to be provided by licensed fund management companies (other than venture capital fund managers) to prospective retail customers, prior to soliciting or entering into an agreement with customers to manage or guide their trading accounts by means of a systematic programme that recommends specific transactions, to trade in: (i) Futures contracts; (ii) Spot foreign exchange contracts for the purposes of leveraged foreign exchange trading; or (iii) Over-the-counter derivatives
- MAS
- Forms and Templates
Last revised date:
- Form for capital markets services licensees providing product financing to provide information on their exposures to specified products. This form must be submitted within 14 days from the end of each quarter. Form 9 is required to be lodged by a capital markets services licensee through MASNET MASNET is a closed communication network system operated by the Authority which the capital markets services licensee needs to subscribe to for the purpose of lodging the form. Unless otherwise specified by
- MAS
- Forms and Templates
Last revised date:
- Form for capital markets services licensees to provide a breakdown of their financial resources, total risk requirement and aggregate indebtedness. This form must be submitted within 14 days from the end of each quarter, and within five months from the end of the financial year. This version is for submissions in respect of any quarter or financial year ending after 31 December 2018. Form 2 is required to be lodged by a capital markets services licensee through MASNET . MASNET is a closed communication
- MAS
- Forms and Templates
Last revised date:
- Form for capital markets services licensees providing product financing to provide information on their exposures to margin customers. This form must be submitted within 14 days from the end of each quarter. Form 8 is required to be lodged by a capital markets services licensee through MASNET MASNET is a closed communication network system operated by the Authority which the capital markets services licensee needs to subscribe to for the purpose of lodging the form. Unless otherwise specified by