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Forms and Templates
 Published Date: 20 December 2006

Form 2 - Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness (For Submissions Until the Quarter/Financial Year Ended 31 December 2018)

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. This version is for submissions in respect of any quarter or financial year ending before or on 31 December 2018.
Applies to: Dealing in Capital Market Products , Product Financing , Providing Custodial Services , Licensed Fund Management Company , Corporate Finance Advisory , REIT Management , Securities Crowdfunding
View Document Form 2 - Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness (For Submissions Until the Quarter/Financial Year Ended 31 December 2018) (368.3 KB)

Securities and Futures (Financial and Margin Requirements)

All forms should be submitted via electronic means. Please refer to Notes below for the details.  

Provisions of the Securities and Futures Act (Cap 289) and the Securities and Futures (Financial and Margin Requirements for Holders of Capital Markets Services Licences) Regulations (Rg 13) Description of forms Form Number
Regulation 27(1)(a) and (9)(b) Statement of Assets and Liabilities

1

(For CMSLs licensed before 8 October 2018 – submission of quarterly and annual returns for periods ending after 31 December 2018; and for new CMSLs licensed after 8 October 2018)

1

(For CMSLs licensed before 8 October 2018 – submission of quarterly returns until the quarter ended 31 December 2018, and submission of annual returns until the financial year ended 31December2018)
Regulation 27(1)(b) and (9)(b) Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness

2

(For CMSLs licensed before8 October 2018 – submission of quarterly and annual returns for periods ending after 31 December 2018; and for new CMSLs licensed after 8 October 2018)

 

2

(For CMSLs licensed before 8 October 2018 – submission of quarterly returns until the quarter ended 31 December 2018, and submission of annual returns until the financial year ended 31December2018)
Regulation 27(9)(a) Statement relating to the Accounts of a Holder of a Capital Markets Services Licence

3

(For CMSLs licensed before 8 October 2018 – submission of quarterly and annual returns for periods ending after 31 December 2018; and for new CMSLs licensed after 8 October 2018)

3

(For submission of annual returnsuntil the financial year ended 31 December 2018)
Regulation 27(9)(a) Statement relating to the Accounts of a Holder of a Capital Markets Services Licence – Supplementary Information

4
Regulation 27(8) Auditor’s Report – For a Holder of a Capital Markets Services Licence 5
Regulation 27(9) Auditor’s Certification – For a Holder of a Capital Markets Services Licence 6
Regulation 27(5) Statement of Aggregate Margin Exposure to SingleApproved Exchange 7
Regulation 27(5) Statement of Exposure to Margin Customers 8
Regulation 27(5) Statement of Exposure to Margined Single Specified Product 9