Status: Current version as at 20 Jan 2021 . INFORMATION ON CHIEF EXECUTIVE OFFICER AND DIRECTORS Complete and attach Form 2 of the Securities and Futures Act (Cap.. View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 January 2015 to 31 March 2015. 31A); “capital markets products” means any securities, units in a collective investment scheme, derivatives contracts, spot foreign exchange contracts for the purposes of leveraged foreign exchange trading, and such other products as the Authority may prescribe as capital markets products; “capital markets services licence” means a licence that is granted by the Authority under section 86 to a person to carry on a business in any regulated activity; “chairman” means a chairman of a board of directors; “chief executive officer”, in relation to an approved exchange, a recognised market operator, a licensed trade repository, a licensed foreign trade repository, an approved clearing house, a recognised clearing house, an approved holding company, the holder of a capital markets services licence, an authorised benchmark administrator, an authorised benchmark submitter, a designated benchmark submitter or any other corporation (called in this definition a relevant person) means any person, by whatever name called, who is —, in the direct employment of, or acting for or by arrangement with, the relevant person; and. in relation to a business trust, means a person who has an interest or interests in one or more voting units in the business trust, the total votes attached to that unit, or those units, being not less than 5% of the total votes attached to all the voting units in the business trust; “Take-over Code” means the Singapore Code on Take-overs and Mergers referred to in section 139 which is issued by the Authority under section 321(1); an offer for the acquisition by or on behalf of a person of —, in the case of a public company, or of a corporation all or any of the shares of which are listed for quotation on an approved exchange —, some or all of the shares, or some or all of the shares of a particular class, in the company or corporation made to all members of the company or corporation, or where the person already holds shares in the company or corporation, made to all other members of the company or corporation; or. any index, right or interest in any produce, item, goods or article that is, or that belongs to a class of indices, rights or interests that is, prescribed not to be a commodity for the purposes of this definition; “company” has the same meaning as in section 4(1) of the Companies Act (Cap. View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2015 to 30 June 2015. any arrangement, event or transaction that is, or that belongs to a class of arrangements, events or transactions that is, prescribed by regulations made under section 341 to be an underlying thing in relation to a financial benchmark. (7)  A person is treated as having an interest in a security, securities-based derivatives contract or unit in a collective investment scheme in any one or more of the following circumstances: where the person has entered into a contract to purchase the security, securities-based derivatives contract or unit in a collective investment scheme (as the case may be); where the person has a right, otherwise than by reason of having an interest under a trust, to have the security, securities-based derivatives contract or unit in a collective investment scheme (as the case may be), transferred to the person or to the person’s order, whether the right is exercisable presently or in the future and whether on the fulfilment of a condition or not; where the person has the right to acquire any of the following under an option, whether the right is exercisable presently or in the future and whether on the fulfilment of a condition or not: the security, securities-based derivatives contract or unit in a collective investment scheme (as the case may be); an interest in the security, securities-based derivatives contract or unit in a collective investment scheme (as the case may be); where the person is entitled, otherwise than by reason of the person having been appointed a proxy or representative to vote at a meeting of members of a corporation or of a class of its members, to exercise or control the exercise of a right attached to any of the following (as the case may be): the security, not being a security of which the person is a registered holder; the securities-based derivatives contract, not being a contract to which the person is a party; the unit in a collective investment scheme, not being a unit of which the person is a registered holder. View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 October 2015 to 31 December 2015. An Act relating to the regulation of activities and institutions in the securities and derivatives industry, including leveraged foreign exchange trading, of financial benchmarks and of clearing facilities, and for matters connected therewith. 2) Notification 2018, Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the SFA other than for fund managers and REIT managers), Licensing, Authorisation and Registration, Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS for REIT Managers, Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS for Fund Managers, CMI 32/2020 Good Practices for Disclosure of Actively Managed Funds, Offers of Securities or Securities-Based Derivatives Contracts, Exemptions issued under s337(2) SFA - 2Q2019, Form 3 - Application for Approval to Act as a Trustee for Collective Investment Schemes under Section 289(1), Exemptions issued under s337(2) SFA 1Q2019, Exemptions issued under s337(2) SFA 4Q2018, Exemptions issued under s337(2) SFA - 3Q2018, Exemptions issued under s337(2) SFA - 2Q2018, MAS Reprimands Taiyo Asset Management Pte Ltd for Recurring Late Regulatory Submissions, and Tey Eng Chee Thomas for Failing to Discharge his Duty and Function as Director, Exemptions issued under s337(2) SFA - 1Q2018, Exemptions issued under s337(2) SFA - 4Q2017, Exemptions issued under s337(2) SFA - 3Q2017, Exemptions issued under s337(2) SFA - 2Q2017, Exemptions issued under s337(2) SFA - 1Q2017, Exemptions issued under s337(2) SFA - 4Q2016, Exemptions issued under s337(2) SFA - 3Q2016, Exemptions issued under s337(2) SFA - 2Q2016, Exemptions issued under s337(2) SFA - 1Q2016, Exemptions issued under s337(2) SFA - 4Q2015, Exemptions issued under s337(2) SFA - 3Q2015, Exemptions issued under s337(2) SFA - 2Q2015, Exemptions issued under s337(2) SFA - 1Q2015, Exemptions issued under s337(2) SFA - 4Q2014, Exemptions issued under s337(2) SFA -3Q2014, Exemptions issued under s337(2) SFA - 2Q2014, Exemptions issued under s337(2) SFA - 1Q2014, Exemptions issued under s337(2) SFA - 4Q2013, Exemptions issued under s337(2) SFA - 3Q2013, Exemptions issued under s337(2) SFA - 2Q2013, Exemptions issued under s337(2) SFA - 1Q2013, Supervisory Approach and Regulatory Instruments, Lists of Designated Individuals and Entities, Grants for Smaller Financial Institutions, Recent Economic Developments in Singapore, Singapore Overnight Rate Average (SORA) Interest Rate Benchmark, Singapore Government Securities (SGS) Bonds, Investing in Singapore Government Securities (SGS) Bonds, Investing in Singapore Savings Bonds (SSB), Brunei-Singapore Currency Interchangeability Agreement, Reproduction of Singapore Currency Images, Money and Banking Monthly Statistical Bulletin, Financial Sector Development Fund Annual Report, Monetary Authority: Assets and Liabilities, International Reserves/Foreign Currency Liquidity, Interest Rates of Banks and Finance Companies, View a list of Application Programming Interfaces (APIs), Opportunities for Mid-Career Professionals, Exempt Corporate Finance Adviser Serving Accredited Investors, Holding Company of Exchange or Clearing House. any index, right, interest, tangible property or intangible property of any nature that is, or belongs to a class of indices, rights, interests, tangible properties or intangible properties that is, prescribed for the purposes of this definition, any produce, item, goods or article that is, or that belongs to a class of produce, items, goods or articles that is, prescribed not to be a commodity for the purposes of this definition; or. 31A); in relation to a collective investment scheme, means a participant of the scheme; and. whether or not those rules, regulations, by-laws or similar body of statements are made by the approved holding company, approved exchange, recognised market operator, licensed trade repository, licensed foreign trade repository, approved clearing house or recognised clearing house or are contained in its constituent documents; but does not include the listing rules of an approved exchange or a recognised market operator (which is an overseas exchange); “business trust” has the same meaning as in section 2 of the Business Trusts Act (Cap. 19), the Finance Companies Act (Cap. This Compliance Toolkit serves as a guide to capital market services licensees (other than fund managers and REIT managers), exempt financial institutions (e.g. It was signed into law on December 21, 2000 by President Bill Clinton.It clarified the law so most OTC derivative transactions between "sophisticated parties" would not be regulated as "futures… Provided further that in terms of section 48(5) of the Futures Act, a license for futures adviser shall only be granted to … 81ZGD Effect of assumption of control under section 81ZGC, 81ZGF Responsibilities of officers, member, etc., of approved holding company, 81ZGG Remuneration and expenses of Authority and others in certain cases, 81ZH Additional powers of Authority in respect of auditors, 81ZI Power of Authority to exempt approved holding company from provisions of this Part, 81ZJ Power of Authority to remove officers, 81ZK Power of Authority to make regulations, 81ZL Power of Authority to issue directions, 82 Need for capital markets services licence, 84 Application for grant of capital markets services licence, 86 Grant of capital markets services licence, 88 Power of Authority to impose conditions or restrictions, 90 Variation of capital markets services licence, 91 Deposit to be lodged in respect of capital markets services licence, 92 False statements in relation to application for grant or variation of capital markets services licence, 94 Records of holders of capital markets services licence, 95 Lapsing, revocation and suspension of capital markets services licence, 96 Approval of chief executive officer and director of holder of capital markets services licence, 97 Removal of officer of holder of capital markets services licence, 97A Control of take-over of holder of capital markets services licence, 97B Objection to control of holder of capital markets services licence, 97D Interpretation of sections 97D to 97I. 3. Securities and Futures Act. “Code on Collective Investment Schemes” means the Code on Collective Investment Schemes referred to in section 284 which is issued by the Authority under section 321(1); an arrangement in respect of any property —. to manage the funds (which may include the reserves of that central government and any pension or provident fund of that country) of another entity that is wholly and beneficially owned, whether directly or indirectly, by the central government of that country; that is wholly and beneficially owned, whether directly or indirectly, by the central government of a country; and. 289) Governs the regulation of activities and institutions in the securities and derivatives industry, including leveraged foreign exchange trading of financial benchmarks and of clearing facilities. These would be dealt with on a later date. To print the whole chapter in HTML, please click at the bottom of the TOC panel and then click .Please set the page orientation to “Landscape” for printing of bilingual texts on a single page. Securities and Futures Authority (SFA) the former body that was responsible for regulating firms dealing in financial security and futures options, formed in 1991 through the merger of the Securities Association and the Association of Futures Brokers and Dealers. an arrangement operated by a person otherwise than by way of business; an arrangement under which each of the participants carries on a business other than investment business and enters into the arrangement solely incidental to that other business; an arrangement under which each of the participants is a related corporation of the manager; an arrangement made by or on behalf of an entity solely for the benefit of persons, each of whom is —, a bona fide director or equivalent person, a former director or equivalent person, a consultant, an adviser, an employee or a former employee of that entity or, where that entity is a corporation, a related corporation of that entity; or. 292D Action by Authority if approved trustee unable to meet obligations, etc. the property does not consist of any of the following: any currency of any country or territory; any policy as defined in the First Schedule to the Insurance Act (Cap. that is authorised under section 286 or recognised under section 287; that invests primarily in real estate and real estate-related assets specified by the Authority in the Code on Collective Investment Schemes; and. 31A); “regulated activity” means an activity specified in the Second Schedule; “related corporation” has the same meaning as in section 4(1) of the Companies Act; “responsible person”, in relation to a collective investment scheme, means —. controlling the development of the definition of a financial benchmark for the purpose of determining a financial benchmark; controlling the development of the methodology of determining a financial benchmark; controlling the review of the definition of a financial benchmark for the purpose of determining a financial benchmark; controlling the review of the methodology of determining a financial benchmark; managing any arrangements, processes or mechanisms for the purpose of determining a financial benchmark; collecting, analysing or processing any information or expression of opinion for the purpose of determining a financial benchmark; applying a formula or other methods of calculation to information or expressions of opinion in order to determine a financial benchmark; or. View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 July 2013 to 30 September 2013. 81L Law of insolvency in other jurisdictions, 81M Participant to be party to certain transactions as principal, 81O Immunity from criminal or civil liability, 81P Power of Authority to remove officers, 81Q Power of Authority to make regulations, 81R Power of Authority to issue directions, 81SA Interpretation of sections 81SA to 81SAE. Together with new and revised underlying regulations, notices and guidelines that were simultaneously released, the SF (A)A introduces changes to rules in connection with licensing, prospectus requirements, conduct of business and market misconduct. Corporations 2001, s. 9], [SIA, s. 3; Aust. The Guidelines set out the margin requirements for non- centrally cleared over-the … persons which deal in securities and/or futures contracts listed or traded on The Stock Exchange of Hong Kong Limited or Hong Kong Futures Exchange Limited or trade in leveraged foreign exchange contracts. whose funds are managed by an entity mentioned in sub-paragraph (iii); a central bank in a jurisdiction other than Singapore; a central government in a country other than Singapore; an agency (of a central government in a country other than Singapore) that is incorporated or established in a country other than Singapore; a multilateral agency, international organisation or supranational agency as may be prescribed by regulations made under section 341; a bank that is licensed under the Banking Act (Cap. (5)  A person is treated as having an interest in a security, securities-based derivatives contract or unit in a collective investment scheme if —, a corporation has, or is by the provisions of this section (apart from this subsection) treated as having, an interest in that security, securities-based derivatives contract or unit in a collective investment scheme (as the case may be); and. for the purposes of the application of this definition to a provision of this Act in respect of which any regulations made under that provision provide that the word “debenture” does not include a prescribed document or a document included in a prescribed class of documents, that document or a document included in that class of documents, as the case may be; “defalcation” means misapplication, including misappropriation, of any property; “derivative”, in relation to a unit in a business trust, has the same meaning as in section 2 of the Business Trusts Act (Cap. 325 Power of court to make certain orders, 327 Criminal jurisdiction of District Court, 328 Falsification of records by officer, employee or agent of relevant person, 329 Duty not to furnish false information to Authority, 330 Duty not to furnish false statements to approved exchange, licensed trade repository, approved clearing house, recognised clearing house, authorised benchmark administrator, exempt benchmark administrator and Securities Industry Council, 331 Corporate offenders and unincorporated associations, 334 Power of Authority to reprimand for misconduct, 336 Proceedings with consent of Public Prosecutor and power to compound offences. View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 April 2013 to 30 June 2013. 336); a holder of a capital markets services licence; an entity or a trust formed or incorporated in a jurisdiction other than Singapore, which is regulated for the carrying on of any financial activity in that jurisdiction by a public authority of that jurisdiction that exercises a function that corresponds to a regulatory function of the Authority under this Act, the Banking Act (Cap. a director or secretary of the corporation; a director or secretary of such a related corporation; where the matter to which the reference relates is the extent of a power to exercise, or to control the exercise of, the voting power attached to voting shares in a corporation, a person with whom the other person has, or proposes to enter into, an agreement, arrangement, understanding or undertaking, whether formal or informal, or express or implied —. The scope of the SFA includes the following: SECURITIES AND FUTURES ACT SECURITIES AND FUTURES ACT (CHAPTER 289, SECTIONS 86 (3), 95 (1) (c), 100, 337, 341 AND 343) upon a proposal to reduce the participants’ funds of the scheme; upon a proposal for the disposal of the whole of the property, business and undertakings of the scheme; (2)  Any reference in this Act to the affairs of a corporation shall, unless the contrary intention appears, be construed as including a reference to —. View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 October 2016 to 31 December 2016. but does not include providing information in relation to a financial benchmark or any act that is necessary or incidental to providing such information; “advising on corporate finance” has the meaning given to it in the Second Schedule; “advocate and solicitor” means an advocate and solicitor of the Supreme Court or a foreign lawyer as defined in section 2(1) of the Legal Profession Act (Cap. by another person and adopted by the corporation or overseas exchange; “manager”, in relation to a collective investment scheme, means a person, by whatever name called, who is responsible for managing the property of, or operating, the collective investment scheme; “member”, in relation to an approved exchange, a recognised market operator, an approved clearing house or a recognised clearing house, means a person who holds membership of any class or description in the approved exchange, recognised market operator, approved clearing house or recognised clearing house, whether or not he holds any share in the share capital of the approved exchange, recognised market operator, approved clearing house or recognised clearing house, as the case may be; “newspaper” has the same meaning as in section 2 of the Newspaper and Printing Presses Act (Cap. (1A)  In determining the value of an individual’s net personal assets for the purposes of subsection (1)(, is to be calculated by deducting any outstanding amounts in respect of any credit facility that is secured by the residence from the estimated fair market value of the residence; and. securities and futures act (cap. These are derived primarily from former rules of the Exchanges and the repealed Leveraged Foreign Exchange Trading Ordinance. On 28 September 2018 and 1 October 2018, the Monetary Authority of Singapore ("MAS") published its Response to Feedback Received on the Consultation Papers on Draft Regulations pursuant to the Securities and Futures Act ("SFA").This is the final installment of the trilogy of updates and in this update, we will consider certain aspects of the second MAS Response in … and a reference in this Act to a person connected to another person shall be construed accordingly; “corporation” has the same meaning as in section 4(1) of the Companies Act (Cap. (11)  An interest in a security, securities-based derivatives contract or unit in a collective investment scheme shall not be disregarded by reason only of —. in relation to a business trust, has the same meaning as in section 2 of the Business Trusts Act (Cap. monitoring and conducting surveillance of any information or expressions of opinion provided for the purpose of determining a designated benchmark. Securities and Futures (Amendment) Act 2017 (Commencement) (No. has at least one of the following characteristics: the investment policy of the arrangement is clearly set out in a document that is provided to each participant in the arrangement before, or at the time, the participant first invests in the arrangement; the entity, sub-fund or trust of which the arrangement is constituted is contractually bound to every participant in the arrangement to comply with the investment policy of the arrangement, as may be amended from time to time; the investment policy of the arrangement sets out the types of property which the arrangement is authorised to invest in, and the investment guidelines or restrictions that apply to the arrangement; or. All rights reserved. any derivatives contract that is, or that belongs to a class of derivatives contracts that is, prescribed not to be an exchange-traded derivatives contract; “executive officer”, in relation to an approved exchange, a recognised market operator, a licensed trade repository, a licensed foreign trade repository, an approved clearing house, a recognised clearing house, an approved holding company, the holder of a capital markets services licence, an authorised benchmark administrator, an authorised benchmark submitter, a designated benchmark submitter or any other corporation (called in this definition a relevant person), means any person, by whatever name called, who is —. Accordingly, each of Auctus Investments Limited and Mr Arvind Tiku is deemed pursuant to the provisions of Section 4 of the Securities and Futures Act, Chapter 289 to have an interest in the 35,123,146 Units held by AT Investments Limited. an investment product as defined in section 2(1) of the Financial Advisers Act (Cap. The 2017 Amendment Act is implemented primarily in two phases. 206); “office copy” has the meaning given to it in section 4(1) of the Companies Act; “officer” has the same meaning as in section 4(1) of the Companies Act (Cap. such other person as the Authority may prescribe; a person whose business involves the acquisition and disposal, or the holding, of capital markets products, whether as principal or agent; a statutory board as may be prescribed by regulations made under section 341; an entity that is wholly and beneficially owned, whether directly or indirectly, by a central government of a country and whose principal activity is —, to manage the funds of the central government of that country (which may include the reserves of that central government and any pension or provident fund of that country); or. View exemptions issued under section 337(2) of the Securities and Futures Act for the period from 1 July 2014 to 30 September 2014. 229 Exception for corporations and its officers, etc. any other person with whom the holder, as principal, enters or will enter into transactions for the sale or purchase of capital markets products, but does not include such person or class of persons as may be prescribed for the purposes of this sub-paragraph; or, for the purposes of Part III and the definition of “user”, a person on whose behalf a member of an approved exchange, an approved clearing house, a recognised clearing house or a recognised market operator, as the case may be, carries on any activity regulated under this Act, but does not include —. to determine the interest payable or other sums due on deposits or credit facilities; to determine the price or value of any investment product as defined in section 2(1) of the Financial Advisers Act (Cap. (10)  The following interests are to be disregarded: an interest in a security, securities-based derivatives contract or unit in a collective investment scheme if the interest is that of a person who holds the security, securities-based derivatives contract or unit in a collective investment scheme (as the case may be) as bare trustee; an interest in a security, securities-based derivatives contract or unit in a collective investment scheme if —, the interest is that of a person whose ordinary business includes the lending of money; and. This Compliance Toolkit aims to guide and facilitate licensed fund management companies, registered fund management companies, venture capital fund managers’ compliance with the various MAS approval and reporting requirements and timelines. Please check the legislation timeline to ensure that you are viewing the correct legislation version. 267 Powers of trustee to apply to court for directions, etc. but does not include any arrangement, event, intangible property or transaction that is, or that belongs to a class of arrangements, events, intangible properties or transactions that is, prescribed by regulations made under section 341 not to be an underlying thing in relation to a financial benchmark; in relation to a collective investment scheme, means a right or interest (however described) in a collective investment scheme (whether or not constituted as an entity), and includes an option to acquire any such right or interest in the collective investment scheme; and. (3)  Where the name of a corporation referred to in this Act is changed pursuant to the Companies Act (Cap. 108); a company or co-operative society that is licensed under the Insurance Act (Cap. a party (referred to in this definition as the franchisor) to the agreement or arrangement authorises or permits another party (referred to in this definition as the franchisee), or a person associated with the franchisee, to exercise the right to engage in the business of offering, selling or distributing goods or services in Singapore under a plan or system controlled by the franchisor or a person associated with the franchisor; the business carried on by the franchisee or the person associated with the franchisee, as the case may be, is capable of being identified by the public as being substantially associated with a trade or service mark, logo, symbol or name identifying, commonly connected with or controlled by the franchisor or a person associated with the franchisor; the franchisor exerts, or has authority to exert, a significant degree of control over the method or manner of operation of the franchisee’s business; the franchisee or a person associated with the franchisee is required under the agreement or arrangement to make payment or give some other form of consideration to the franchisor or a person associated with the franchisor; and. 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