Showing 590 Documents for "CMS"
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- MAS
- Consultations
Last revised date:
- Registered Insurance Brokers Exempt from Holding a Financial Advisers Licence under Section 23(1)(c) of the Financial Advisers Act (Cap. 110) 4 futures contract has the same meaning as in regulation 2 of the Securities and Futures (Financial and Margin Requirements for Holders of Capital
- as a financial institution and approved to carry on a business of providing any financial advisory service under the Monetary Authority of Singapore Act (Cap.186) a company or co-operative society licensed or registered under the Insurance Act (Cap.142) a holder of a capital
- services in respect of futures contracts at the same time that he is a licensed commodity futures brokers representative under section 13 of the CTA in relation to a corporation which prior to 27 February 2008, is the holder of a commodity futures brokers licence under the CTA and a capital
- MAS
- Notices
Last revised date:
- Holders of a capital markets services licence under section 82 of the Securities and Futures Act (Cap. 289). 6.
- Holders of a capital markets services licence under section 82 of the SFA Securities and Futures Act (Cap. 289). [MAS Notice PSN01 (Amendment) 2022] 6.
- MAS
- Consultations
Last revised date:
- Briefly, the CA Exemption Order provides that notification requirements will not apply to (a) the holder of a capital markets services licence or an exempt person, who acts as a securities lending intermediary, where the shares are transferred to and out of its account within two
- (1) Section 136(1), section 136(1) as applied by section 137J(1) and section 136(1) as applied by section 137U(1) of the Act shall not apply to any person who is (a) the holder of a capital markets services licence for fund management; (b) an exempt person in respect of fund
- (1) Part VII of the Act shall not apply to (a) any person, being the holder of a capital markets services licence or an exempt person, who acts as a securities lending intermediary in a securities lending transaction where the securities are transferred to and out of that persons
- MAS
- Notices
Last revised date:
- Holders of a capital markets services licence under section 82 of the Securities and Futures Act (Cap. 289). 6.
- Holders of a capital markets services licence under section 82 of the SFA Securities and Futures Act 2001. [MAS Notice 626 (Amendment) 2022] 6.
- Holders of a capital markets services licence under section 82 of the Securities and Futures Act (Cap. 289). Fund management companies registered under paragraph 5(1)(i) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg. 10).
- MAS
- Consultations
Last revised date:
- ); (b) Loan accounts; and (c) Cash held as required margin or as excess margin with CMS licensees.
- Such modularity has worked well in the case of the capital markets services licensing regime under the Securities and Futures Act.
- Entities that engage in leveraged foreign exchange trading under the SFA must hold a Capital Markets Service license authorising this activity.
- MAS
- Notices
Last revised date:
- section 84(1) of the Securities and Futures Act; or (b) any entity established or incorporated in a foreign country or jurisdiction which is approved, licensed, registered or otherwise regulated by a regulatory agency of the foreign country or jurisdiction to carry on business in capital
- markets services licence under section 84(1) of the Securities and Futures Act (Cap. 289); or (b) any entity that is approved, licensed, registered or otherwise regulated by a regulatory agency other than the Authority to carry out activities permitted under a capital markets services licence
- MAS
- Consultations
Last revised date:
- The feedback received noted that there may be an overlap between Notices, for example, if a bank licensee also holds a Capital Markets Services license.
- to hold a Capital Markets Services licence (hereinafter the Capital Markets intermediaries or CMIs) on some of the requirements of SFA 04-N02 (the Notice) issued on [date].
- These Guidelines are issued to provide guidance to holders of a Capital Markets Services licence and persons exempt under paragraph 4(1)(c), 5(1)(d) or 7(1)(b) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations from having
- MAS
- Notices
Last revised date:
- Holders of a capital markets services licence under section 82 of the Securities and Futures Act (Cap. 289). 6.
- Holders of a capital markets services licence under section 82 of the SFA Securities and Futures Act (Cap. 289). [MAS Notice 824 (Amendment) 2022] 6.
- Holders of a capital markets services licence under section 82 of the Securities and Futures Act (Cap. 289). Fund management companies registered under paragraph 5(1)(i) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations (Rg. 10).
- MAS
- Guidance
Last revised date:
- Banks conducting regulated activities under the Securities and Futures Act 2001 (SFA) (termed as Exempt CMS entities) are to refer to Section B of the Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the
- MAS
- Consultations
Last revised date:
- Name of manager of the ILP sub-fund Indicate which of the following applies to the manager: [ ] [ ] [ ] [ ] [ ] (b) (c) (d) Insurance company registered under the Insurance Act (Cap. 142) Holder of capital markets services licence for fund management under the Securities