Regulations
Securities and Futures (Amendment) Act 2017 (Saving and Transitional Provisions for Holders of Capital Markets Services Licence and Representatives) Regulations 2018
Sets out the saving and transitional provisions for certain applications, notifications, arrangements and exemptions in relation to the amendments made to the SFA.
- Licensing, Authorisation and Registration
- Representative-related
- Disclosures
- Record Keeping
- Customer Monies and Assets Segregation
- Advisory and Sales
- Key Appointments
- Corporate Governance
- Fit and Proper Criteria
- Appointment of Auditors
- Notifications
- Declarations
- Financial Returns
- Security Deposit and PII
- Exemptions
Applies to:
Markets and Exchanges
,
Exempt Corporate Finance Adviser Serving Accredited Investors
,
Exempt Futures Broker
,
Exempt OTC Derivatives Broker
,
Dealing in Capital Market Products
,
Product Financing
,
Providing Custodial Services
,
Corporate Finance Advisory
,
Licensed Fund Management Company
,
Registered Fund Management Company
,
REIT Management
,
Venture Capital Fund Management Company
,
Credit Rating Agency
,
Securities Crowdfunding
,
Exempt Capital Markets Services Entity
Related to this Item
-
ConsultationsPublished Date: 16 June 2009
Policy Consultation on Amendments to the Securities and Futures (Licensing and Conduct of Business) Regulations and the Financial Advisers Regulations
Proposed revisions to both sets of regulations, in respect of registers of interests in securities, definition of customer assets, exemptions for dealing activities and maximum penalty under the general penalty provision. The paper also clarifies the types of forms to be maintained under these regulations.
- Consultation number:
- P007 - 2009
- Start date:
- 16 June 2009
- Closing date:
- 15 July 2009
- MAS response date:
- 19 October 2010