18 Dec 2020. SECURITIES AND FUTURES ACT (CHAPTER 289) SECURITIES AND FUTURES (SHORT SELLING) REGULATIONS 2018 ARRANGEMENT OF REGULATIONS PART 1 PRELIMINARY Regulation 1. Last Revised Date: 14 August 2018 Securities And Futures (Composition Of Offences) Regulations Sets out the offences which may be compounded by MAS and the acceptance of the offer of composition by a person reasonably suspected to have committed an offence. it is not accompanied by the relevant fee mentioned in regulation 5. Securities and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018 In exercise of the powers conferred by sections 240A(8), 337, 339(3) and 341 of the Securities and Futures Act, the Monetary Authority of Singapore makes the following Regulations: Statement on regulatory framework for virtual asset portfolios managers, fund distributors and trading platform operators 1 Nov 2018. Current version as at 25 Sep 2020 Print . Most of the amendments in the SF(A)A are operative from 1 and 8 October 2018, save for two provisions1. Securities and Futures (Prescribed Debentures) Regulations 2018 (1) These Regulations are the Securities and Futures (Financial Benchmarks) Regulations 2018 and, except for regulations 9 (2), 13 (2) and 21, come into operation on 8 October 2018. All rights reserved. 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. 23 Dec 2020. Citation and commencement. 30 May 2018. Circular to licensed corporations Deferral of margin requirements for non-centrally cleared OTC derivative transactions. Circular to Intermediaries - Frequently Asked Questions on Compliance with Suitability Obligations and Requirements for Complex Products . Securities and Futures (Classes of Investors) Regulations 2018 Prescribes additional persons as accredited investors (e.g. 1. The Securities and Futures (Amendment) Act 2017 (SF(A)A), passed by Parliament on 9 January 2017, introduces major changes to the Singapore capital markets regulatory framework. The SFC Regulatory Forum 2018 was held on 14 March 2018 (Wed) at the Hong Kong Convention and Exhibition Centre. Revised Editions of Subsidiary Legislation. 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. SFC Annual Report 2018-19. (1) These Regulations are the Securities and Futures (Organised Markets) Regulations 2018 and, except for regulation 12, come into operation on 8 October 2018. in relation to an ASEAN Offering of Plain Debt Securities (other than an offer that is part of a debenture issuance programme), the ASEAN Debt Securities Disclosure Standards; in relation to an ASEAN Offering of Plain Debt Securities that is part of a debenture issuance programme, the ASEAN Debt Securities Disclosure Standards and ASEAN Disclosure Standards for Debt Issuance Programme; or, in relation to an ASEAN Offering of shares, the ASEAN Equity Securities Disclosure Standards; and. Securities Regulation: A 2018 Preview. Fit and Proper Criteria (4) The Authority may refuse to accept any form if —, it is not completed or lodged in accordance with this regulation; or. On 8 October 2018, a number of these changes came into force, affecting financial institutions, investors and the conduct of business. Securities and Futures (Margin Requirements for Exempt Financial Institutions) Regulations 2018 In exercise of the powers conferred by sections 100(1) and 341 of the Securities and Futures Act, the Monetary Authority of Singapore makes the following Regulations: [MPI/CMP/06/2018; AG/LEGIS/SL/289/2015/39 Vol. These Regulations are the Securities and Futures (Capital Markets Products) Regulations 2018 and come into operation on 9 July 2018. Last Revised Date: 11 October 2019 Securities and Futures (Clearing of Derivatives Contracts) Regulations 2018 Regulations pertaining to the mandatory … 23 Dec 2020. See also. SECURITIES AND EXCHANGE COMMISSION (Release No. (3) A specified financial institution that contravenes any condition or restriction mentioned in paragraph (2) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 and, in the case of a continuing offence, to a further fine not exceeding $5,000 for every day or part of a day during which the offence continues after conviction. Transitional provisions are in place to allow capital markets intermediaries time to comply with some … The SFC has, pursuant to its power under section 134 of the SFO, granted modifications or waivers, amended a modification or waiver previously granted, amended or revoked any of the conditions imposed, or imposed new conditions on a modification or waiver previously granted to the following person in relation to the requirements of the Securities and Futures (Financial Resources) Rules. 1]. (2) Regulation 12 comes into operation on 1 … 29 Dec 2020. Securities and Futures (Organised Markets) Regulations 2018 Regulations setting out licensing requirements and obligations of operators of organised markets. of which the terms applicable to each offer are negotiated and agreed upon over‑the‑counter, at the time of the transaction, between the specified financial institution and the person to whom the offer is made; “Plain Debt Securities” has the meaning given by the ASEAN Debt Securities Disclosure Standards; “reference assets”, in relation to an offer of structured notes, means —. In exercise of the powers conferred by sections 123ZZA and 337(1) of the Securities and Futures Act, the Monetary Authority of Singapore makes the following Regulations: (2) Regulations 9(2), 13(2) and 21 come into operation on 8 October 2020. any securities, securities‑based derivatives contracts, equity interest, commodity or index; any basket consisting of any securities, securities‑based derivatives contracts, equity interests, commodities or indices; any interest rates or currency exchange rates. Copyright © 2021 Government of Singapore. Draft amendments to the Securities and Futures Advisers (Licensing and Operations) Regulations, 2017: Download : 20/01/2020: Draft the Companies (Further Issue of Shares) Regulations, 2020: Download: 27/01/2020: Draft amendment to Associations with Charitable and Not for Profit Objects Regulations, 2018: Download: 28/01/2020: Draft Amendments to AML/CFT Regulations, 2018: Download: … 23/02/2018: Clean Copy of Securities and Futures Advisors Regulations 2017 ( updated February 21, 2018) Download: 18/04/2018: Amendments to the Companies (Incorporation) Regulations, 2017 : Download: 25/04/2018: Notification to Clearing Houses (Licensing and Operations) Regulations 2016 – Futures Act 2016: Download: 30/04/2018: Auditors (Reporting Obligations) Regulations, 2018: … Copyright © 2021 Government of Singapore. Definitions: 2. The amendments have been notified to make advisory regulatory regime more practicable and conducive, it added. is listed on the Authority’s website at http://www.mas.gov.sg as an ASEAN participant country; “asset‑backed securities” has the meaning given by section 262(3) of the Act; “continuously issued structured notes” means structured notes —, that are issued and offered by a specified financial institution in the ordinary course of its business; and. Exemption from section 309B (1) of Act 2. January 11, 2018 by Phil Brown. On 1 November 2018, the Securities and Futures Commission (SFC) published a Statement on Regulatory Framework for Virtual Assets Portfolios Managers, Fund Distributors and Trading Platform Operators [1] (the Regulatory Framework Statement) setting out the regulatory standards applicable to virtual asset portfolio managers and distributors of virtual funds. Regulatory calendar. which payments to holders of the structured notes are or will be linked to; “securitisation transaction” has the meaning given by section 262(3) of the Act; “specified financial institution”, “structured notes” and “synthetic securitisation transaction” have the meanings given by section 240AA(5) of the Act. Securities and Futures Act Amendments – Classification of Accredited Investors and the Opt-In Regime Introduction The Securities and Futures (Amendment) Act 2017 introduced a spate of significant changes to the securities and derivatives industry. Securities and Exchange Commission of Pakistan (Anti Money Laundering and Countering Financing of Terrorism) Regulations, 2018 (repealed) Securities and Futures Advisers Regulations, 2017; Securities Broker (Licensing and Operations) Regulations, 2016; Amendments in Relation to Single Member Companies (SMC) Stock Exchanges Corporatization Demutualization & Integration Regulation 2012, … China Securities Regulatory Commission (CSRC) on supervision, enforcement and market development initiatives. In exercise of the powers conferred by sections 240A(8), 337, 339(3) and 341 of the Securities and Futures Act, the Monetary Authority of Singapore makes the following Regulations: “ASEAN Debt Securities Disclosure Standards” means the common disclosure standards issued by the ASEAN Capital Markets Forum and called the ASEAN Debt Securities Disclosure Standards, updated from time to time and set out on the Authority’s website at http://www.mas.gov.sg; “ASEAN Disclosure Standards for Debt Issuance Programme” means the common disclosure standards issued by the ASEAN Capital Markets Forum for any ASEAN Offering of Plain Debt Securities that is part of a debenture issuance programme, updated from time to time and set out on the Authority’s website at http://www.mas.gov.sg; “ASEAN Equity Securities Disclosure Standards” means the common disclosure standards issued by the ASEAN Capital Markets Forum for any ASEAN Offering of equity securities, updated from time to time and set out on the Authority’s website at http://www.mas.gov.sg; “ASEAN Offering” means an offer of shares or Plain Debt Securities in Singapore and at least one other ASEAN participant country; “ASEAN participant country” means a member country of ASEAN that —, has adopted, as part of its disclosure requirements for offers of securities —. The Securities and Futures (Amendment) Act 2017 (“SF(A)A”) took effect on 8 October 2018. Securities and Futures (Financial Benchmarks) Regulations 2018, Published in Subsidiary Legislation Supplement, Please check the legislation timeline to ensure that you are viewing the correct legislation version. (3) Any word or expression used in the Fifth to Nineteenth Schedules is, unless the context otherwise requires, to be interpreted in accordance with this regulation and the Fourth Schedule. All rights reserved. —(1) The forms to be used for the purposes of Division 1 of Part XIII of the Act and these Regulations are those set out at the Authority’s website accessible at http://www.mas.gov.sg (under “OPERA”), or at https://eservices.mas.gov.sg/opera, and any reference in these Regulations to a numbered form is to be construed as a reference to the current version of the form that bears the corresponding number and is displayed at that website. at any time vary or revoke any condition or restriction so imposed. (2) The Authority may waive in whole or in part any fee under item 4, 5 or 20 of the First Schedule as the Authority thinks fit. 75. These Regulations may be cited as the Securities and Futures (Licensing and Conduct of Business) Regulations. Forms. The Securities and Futures Commission (SFC) notes with concern the growing investor interest in gaining exposure to virtual assets via funds and unlicensed trading platform operators in Hong Kong. (2) Any word or expression used in these Regulations that is defined in section 239 of the Act has the meaning given by that section. An issuer is exempt from complying with section 309B (1) of the Act in relation to an offer of any capital markets products, if the offer is made to — Revised Editions of Subsidiary Legislation. NEW REGULATION ON DERIVATIVE SECURITIES AND FUTURES EXCHANGE One year after the Prime Minister approved Vietnam’s Project for the Development of the Derivative Securities Market, the Government issued the long-awaited Decree 42/2015/ND-CP on derivative securities (“DS”) and the DS market (“Decree 42”). Share: As we approach the one-year anniversary of the Trump administration, it’s time to shift from looking back on the year that was to the one that lies ahead. See footnote 1 on page 7. 3 Obligations of specified financial institution, 6 Information that may be omitted from preliminary document, 7 Form and content requirements of product highlights sheet, 11 Supplementary document and replacement document, 12 General requirements for documents lodged with Authority, 16 Report about securities or securities-based derivatives contracts published and delivered to institutional investors, 17 Requirements for advertisement or publication, 18 Approval of advertisement or publication, 26 Preparation and availability of semi‑annual reports, 29 Disclosure of bid or redemption prices and related information, 30A Exemption from Subdivisions (2) and (3) of Division 1 of Part XIII of Act, 30B Exemptions from section 239C(1) of Act, 31 Exemption from section 240 of Act for offer made pursuant to bonus warrant, 33 Exemption from requirement for expert’s consent under section 249(1) of Act, 34 Exemption from aggregation requirement in sections 272A(5)(, 35 Determination of closely related offer for small offer and private placement, 37 Disclosure requirement under section 273(1)(, 37A Exemptions from section 276(1), (3) and (4) of Act, 37B Securities or securities-based derivatives contracts to which exemptions under section 277(1) of Act do not apply, 38 Contents of offer information statement under section 277 of Act, 39 Non‑applicability of section 339(2) of Act under certain circumstances, —(1) In these Regulations, unless the context otherwise requires —, Obligations of specified financial institution, —(1) The Authority may, by notice in writing —. Decree 42 outlines the basic legal framework for a futures exchange … impose on a specified financial institution such conditions or restrictions in relation to the issue of structured notes by the specified financial institution as the Authority thinks fit; and. The Securities and Futures Commission (SFC) of Hong Kong is the independent statutory body charged with regulating the securities and futures markets in Hong Kong. 34-83519; File No. Securities and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018, Please check the legislation timeline to ensure that you are viewing the correct legislation version. Regulatory engagement. Circular to Licensed Corporations Launch of iAM Smart. The SFC is responsible for fostering an orderly securities and futures markets, to protect investors and to help promote Hong Kong as an international financial centre and a key financial market in China. These Regulations are the Securities and Futures (Prescribed Debentures) Regulations 2018 and come into operation on 8 October 2018. (2) A specified financial institution must comply with every condition or restriction that is imposed under paragraph (1) on the specified financial institution, and that remains in force. (3) All forms used for the purposes of Division 1 of Part XIII of the Act and these Regulations must be completed in the English language and in accordance with such directions as may be specified in the form or by the Authority. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for the purpose of the SFA. 1.—. Securities and Futures (Organised Markets) Regulations The new Organised Markets Regulations will, with the exception of Regulation 12, come into force on 8 October 2018. Last 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. 2. [CFC CFI SP/2018/02 PT4; AG/LEGIS/SL/289/2015/48 Vol. Citation and commencement 2. 1]. Securities and Futures (Offers Of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018 Sets out the requirements for an offer of securities or securities-based derivatives contracts, including amongst others, the prescribed contents of a prospectus or other offer documents, and certain legislative exemptions. The Organised Markets Regulations will therefore supersede the existing Securities and Futures (Markets) Regulations 2005 from 8 … (2) Regulations 9 (2), 13 (2) and 21 come into operation on 8 October 2020. 4 Requirements for authorisation as authorised benchmark administrator, 7 Matters dealt with by code on designated benchmark, 9 Responsibilities of oversight committee, 10 Resources to meet contingencies or disasters, 11 Obligation to notify Authority of certain matters, 15 Approval of chief executive officer or director of authorised benchmark administrator, 16 Removal of officer of authorised benchmark administrator, 18 Condition of exemption under section 123ZH(1) of Act, 19 Obligation to notify Authority of certain matters, 23 Approval of chief executive officer or director of authorised benchmark submitter or designated benchmark submitter, 24 Removal of officer of authorised benchmark submitter or designated benchmark submitter, 27 Exemption from section 123ZC(1) of Act, 28 Exemption from Subdivision (4) of Division 3 of Part VIAA and section 123O(6) of Act. SR-OCC-2018-009) June 26, 2018 Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Facilitate Reporting Under Commodity Futures Trading Commission Regulations Applicable to Derivatives Clearing Organizations Pursuant to Section … Licensing, Authorisation and Registration Since 2014, the SFC has organised this event on a biennial basis to promote dialogue with the industry and other stakeholders. Licensing, Authorisation and Registration Licensing, Authorisation and … These regulations have been notified vide SRO No 253(I)/2018. —(1) Subject to paragraph (2), the fees specified in the First Schedule are payable to the Authority for the purposes specified in that Schedule, and are not refundable. See also, Published in Subsidiary Legislation Supplement on 02 Oct 2018. 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