Securities and Futures (Opportunity to be Heard) Regulations
Related to this Item
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Forms and TemplatesPublished Date: 08 November 2018
Form 1V - Application for a Capital Markets Services Licence for Venture Capital Fund Manager
Form for entities to apply to be a licensed venture capital fund manager (VCFM). Entities that intend to commence business as registered fund management companies or licensed fund management companies (other than as VCFMs) should submit Form 22A or Form 1A respectively.
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Forms and TemplatesPublished Date: 09 October 2018
Form 3A - Notification for Appointment of an Appointed Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of representatives.
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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 3C - Notification for Appointment of a Temporary Representative
Form for banks, merchant banks, finance companies and insurers to notify MAS of the appointment of temporary representatives who reside outside Singapore but plan to conduct activities in Singapore for a limited period of time.
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Forms and TemplatesPublished Date: 08 October 2018
Form 5 - Application for Additional Regulated Activity under a Capital Markets Services Licence
Form for capital markets services licensees to apply for additional type(s) of regulated activity/activities.
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Forms and TemplatesPublished Date: 08 October 2018
Form 3B - Notification for Appointment of a Provisional Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of provisional representatives relocating to Singapore with past experience in conducting regulated activities.
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Forms and TemplatesPublished Date: 08 October 2018
Form 6 - Notification to Add Activity/Activities of a Representative
Form for capital markets services (CMS) licensees, banks, merchant banks, finance companies and insurers to notify MAS before an appointed representative adds other type(s) of regulated activity or activities.
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Forms and TemplatesPublished Date: 08 October 2018
Form 1A - Application for a Capital Markets Services Licence for Fund Management Company
Form for entities to apply to be a licensed fund management company. Entities that intend to commence business as registered fund management companies or venture capital fund managers should submit Form 22A or Form 1V respectively.
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Forms and TemplatesLast Revised Date: 08 October 2018
Form 3D - Notification of the Completion of Examination Requirements by a Provisional Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the completion of the examination requirements by a provisional representative.
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GuidelinesPublished Date: 01 November 2016
Guidelines on Licence Applications, Representative Notification and Payment of Fees [CMG-G01]
Guidelines on procedures to apply for a Capital Markets Services (CMS) or Financial Advisory (FA) licence, appoint representatives and pay fees.
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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.