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Consultations
 Published Date: 03 June 2015

Consultation Paper on Regulatory Framework for Intermediaries Dealing in OTC Derivative Contracts, Execution-Related Advice, and Marketing of Collective Investment Scheme

Covered three proposals: (i) Regulatory framework for capital markets services licensees, banks, merchant banks and finance companies dealing in OTC derivative contracts under the SFA, including capital, business conduct and other requirements; (ii) exemption for execution-related advice on listed excluded investment products under the FAA; and (iii) transferring the regulation of marketing of CIS from the FAA to SFA.
Consultation Number:
P009-2015
Start Date:
03 June 2015
Closing Date:
03 July 2015
MAS Response Date:
29 December 2015
Response date: 29 Dec 2015
Responded
The consultation response was published on 29 December 2015.

Response

VIEW DOCUMENT

Consultation Paper

VIEW DOCUMENT Consultation Paper on Regulatory Framework for Intermediaries Dealing in OTC Derivative Contracts, Execution-Related Advice, and Marketing of Collective Investment Scheme (858 KB)