Showing 590 Documents for "CMS"
Filter by
Sort by
- 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.
- FORM 2 Name of the holder of a capital markets services licence: __________________ Statement as at: (dd-mmm-yyyy) Note: Terms used in this form (e.g. securities) follow the definitions in the Securities and Futures Act (SFA) prior to 8 October 2018.
- MAS
- Consultations
Last revised date:
- There is therefore no level playing field between CMSL holders and such exempt entities.
- )"][1] would cease if the exempted person acquires a CMSL under the SFA for any regulated activity.
- This provision was intended to apply to CMSL holders who deal in shares or debentures which are not listed on a securities exchange, through a facility that is used solely by the CMSL holder to make offers or invitations for these products.
- MAS
- Guidelines
Last revised date:
- SFA13-G15). 24 A corporation that wishes to apply for a capital markets services licence may refer to the Guidelines on Criteria for the Grant of a Capital Markets Services Licence (Guideline No.
- If so, Company D will require a capital markets services licence for carrying on business in fund management, unless otherwise exempted. Holders of a capital markets services licence are required to comply with AML/CFT requirements under MAS Notice SFA04-N02.
- Holders of a capital markets services licence are required to comply with AML/CFT requirements under MAS Notice SFA04-N02.
- MAS
- Explainers
Last revised date:
- SFA13-G15). 24 A corporation that wishes to apply for a capital markets services licence may refer to the Guidelines on Criteria for the Grant of a Capital Markets Services Licence (Guideline No.
- If so, Company D will require a capital markets services licence for carrying on business in fund management, unless otherwise exempted. Holders of a capital markets services licence are required to comply with AML/CFT requirements under MAS Notice SFA04-N02.
- Holders of a capital markets services licence are required to comply with AML/CFT requirements under MAS Notice SFA04-N02.
- MAS
- Monographs/Information Papers
Last revised date:
- SFA13-G15). 24 A corporation that wishes to apply for a capital markets services licence may refer to the Guidelines on Criteria for the Grant of a Capital Markets Services Licence (Guideline No.
- If so, Company D will require a capital markets services licence for carrying on business in fund management, unless otherwise exempted. Holders of a capital markets services licence are required to comply with AML/CFT requirements under MAS Notice SFA04-N02.
- Holders of a capital markets services licence are required to comply with AML/CFT requirements under MAS Notice SFA04-N02.
- MAS
- Forms and Templates
Last revised date:
- 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.
- SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) FORM 4 REGULATION 27(9) (a) STATEMENT RELATING TO THE ACCOUNTS OF A HOLDER OF A CAPITAL MARKETS SERVICES LICENCE
- 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.
- MAS
- Forms and Templates
Last revised date:
- LICENCE Name of the holder of a capital markets services licence: __________________ the 1.
- Form 3 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) FORM SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) 3 REGULATION 27(9) (a) STATEMENT RELATING TO THE ACCOUNTS OF A HOLDER OF A CAPITAL MARKETS SERVICES
- MAS
- Forms and Templates
Last revised date:
- LICENCE Name of the holder of a capital markets services licence: __________________ the 1.
- Form 3 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) FORM SECURITIES AND FUTURES (FINANCIAL AND MARGIN REQUIREMENTS FOR HOLDERS OF CAPITAL MARKETS SERVICES LICENCES) REGULATIONS (Rg 13) 3 REGULATION 27(9) (a) STATEMENT RELATING TO THE ACCOUNTS OF A HOLDER OF A CAPITAL MARKETS SERVICES
- MAS
- Guidelines
Last revised date:
- This is inconsistent with the CMS Brokers duty to provide Best Execution to customers.
- These guidelines apply to - Capital markets services (CMS) licensees; and - Banks, merchant banks and finance companies which conduct the regulated activities of dealing in capital markets products, fund management or real estate investment trust management under the SFA.
- markets services licence or a person 6.1 exempt from the requirement to hold a capital markets services licence under section 99(1)(a), (b) or (c) of the Act to carry on business in dealing in capital markets products (collectively referred to as CMS Broker).
- MAS
- Exemptions
Last revised date:
- Definitions 3 For the purposes of this Notice: exempt person means a person exempted from holding a capital markets services [CMS] licence under paragraph 3(1)(d), 3A(1)(d) 5(1)(d) or 7(1)(b) of the Second Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations
- This notice prohibits a corporate finance adviser, a futures or OTC derivatives broker which is exempt from holding a CMS licence from representing that it is licensed, supervised, regulated or registered by MAS.
- Prohibited Representations 4 Exempt persons are exempted from the requirement to hold a CMS licence for the conduct of regulated activities under the Act, subject to the conditions specified in the Second Schedule to the SFR. 5 An exempt person shall not represent itself, nor cause