Forms and Templates
Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive
Form for capital markets services licensees, other than licensed fund management companies, to apply for the appointment of a Chief Executive Officer or director; or to change a director’s role from non-executive to executive.
Form 11 should be lodged by email in a single password-protected zip file to your MAS officer-in-charge, together with any accompanying attachments in machine-readable format. The password should be communicated via a different medium (e.g. telephone).
Related to this Item
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FAQsPublished Date: 09 October 2018
FAQs on Licensing and Business Conduct (Other than for Fund Management Companies)
Provides guidance on the scope of capital markets services licensing (other than for fund management companies); appointment of representatives; business conduct rules; and the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.
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Forms and TemplatesPublished Date: 08 October 2018
Form 1 - Application for a Capital Markets Services Licence (Other than for a Fund Management Company)
Form for entities (other than fund management companies to apply for a capital markets services licence to conduct regulated activities under the Securities and Futures Act. Fund management companies should submit Form 1A, 1V or 22A, depending on the type and scope of their fund management activities.
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FAQsPublished Date: 08 October 2018
FAQs on the Licensing and Registration of Fund Management Companies
Provides guidance on the requirements and procedures to apply to be a fund management company, and to appoint representatives to carry out fund management activities.
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RegulationsLast Revised Date: 08 October 2018
Securities and Futures (Licensing And Conduct Of Business) Regulations
Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
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GuidelinesPublished Date: 01 November 2016
Guidelines on Criteria for the Grant of a Capital Markets Services Licence Other Than for Fund Management and Real Estate Investment Trust Management [SFA 04-G01]
How to qualify to be a CMS licensee (other than a fund manager or REIT manager).
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GuidelinesPublished Date: 01 January 2016
Guidelines to All Holders of a Capital Markets Services Licence for Real Estate Investment Trust Management [SFA 04-G07]
How to qualify to be a REIT manager and what ongoing governance and compliance arrangements are expected.
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GuidelinesPublished Date: 07 August 2012
Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [SFA 04-G05]
How to qualify to be and conduct your business as a fund manager.