Showing 590 Documents for "CMS"
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- MAS
- Exemptions
Last revised date:
- MAS granted an exemption to a fund management company (FMC) from the requirement to hold a Capital Markets Services (CMS) licence for fund management.
- MAS granted an exemption to five IDBs from holding a CMS licence for trading in futures contracts.
- The exemption was conditional on the REIT manager holding a Capital Market Services Licence to conduct REIT management.
- MAS
- Forms and Templates
Last revised date:
- 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.
- 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 SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) REGULATION 27(5) STATEMENT OF EXPOSURE TO MARGINED SINGLE SPECIFIED PRODUCT Name of the
- MAS
- Forms and Templates
Last revised date:
- The online format of this form should be used by a capital markets services licensee, an exempt capital markets services entity, a licensed financial adviser and an exempt financial adviser for the notification of appointment of representatives and it should be submitted online using the Corporations
- MASNET is a closed communication network system operated by the Authority which a capital markets services licensee, a financial institution exempt from holding capital markets services licence under section 99(1)(a), (b), (c) or (d) of the SFA, a licensed financial adviser or an exempt financial adviser
- The PDF form should be used only by corporations which are applying for: A capital markets services licence (other than for fund management) for the notification of appointment of representatives and it should be submitted by email.
- MAS
- Forms and Templates
Last revised date:
- Form 7 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.
- Form for capital markets services licensees providing product financing to provide information on margin exposures to various approved exchanges. This form must be submitted within 14 days from the end of each quarter.
- SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) REGULATION 27(5) STATEMENT OF AGGREGATE MARGIN EXPOSURE TO SINGLE APPROVED EXCHANGE FORM 7 Name of the
- MAS
- Forms and Templates
Last revised date:
- 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.
- SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) REGULATION 27(5) STATEMENT OF EXPOSURE TO MARGIN CUSTOMERS FORM 8 Name of the holder of a capital markets
- 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.
- MAS
- Speeches
Last revised date:
- (d) Appointment of Directors by Capital Markets Services Licence Holders (Section 96) 9 Capital markets services licence holders are required under the SFA to seek MAS’ prior approval for the appointment of chief executive officers or directors.
- It will also bring capital markets services licence holders in line with other MAS-regulated financial institutions already under a perpetual licensing regime.
- markets services licence holders, and financial institutions exempted under sections 99(1)(a), (b), (c), and (d) of the SFA from the requirement to hold a capital markets services licence.
- MAS
- Exemptions
Last revised date:
- Section 99(1)(h) of the SFA, read with section 337(2) of the SFA Exemption from requirement to 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 Exemption for an Approved Holding Company (AHC) 2 3 11 February 2018 7 Section 99(1
- 2018 S/N Exemption granted Exemption provision Description No. of exemptions provided 4 Date of exemption granted 22 January 2018 31 January 2018 2 February 2018 8 March 2018 MAS granted exemptions to four Financial Advisers (FAs) from the requirement to hold a CMS
- MAS
- Consultations
Last revised date:
- markets service (CMS) license.
- Both types of digital advisers are required to hold a capital markets service (CMS) licence unless otherwise exempted.
- Yes No CMS licence* for Fund Management + Exempt FA No CMS licence* for Fund Management + Exempt FA Annex A Yes FA licence* No CMS licence* for Fund Management + Exempt FA 19 * Unless otherwise exempted MONETARY AUTHORITY OF SINGAPORE -------- CONSULTATION PAPER
- MAS
- Forms and Templates
Last revised date:
- Form 2 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.
- 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.
- SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) REGULATION 27(1)(b) AND 9(b) STATEMENT OF FINANCIAL RESOURCES, TOTAL RISK REQUIREMENT AND AGGREGATE INDEBTEDNESS
- MAS
- Exemptions
Last revised date:
- The exemptions were to allow the REIT managers to offer new units in the REITs to accredited investors and other investors in reliance on the exemption under section 305 of the SFA, and is granted on condition that the REIT managers hold a Capital Market Services (CMS) licence
- Exemption from compliance with paragraph 3(1)(a) of the Sixth Schedule to the Securities and Futures (Offers of Investments) (Collective Investment Schemes) Regulations 2005 (SF(OI)(CIS)R) -------- Exemption from requirement to hold a Capital Markets Services (CMS) licence for fund
- a CMS licence for: dealing in securities in respect of their transmission of (i) customers orders to another person for the purchase or sale of units in an ETF.