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What is regulation 40 of the SF LCB R of Singapore?

40. (1) The holder of a capital markets services licence shall on a monthly basis furnish to each customer a statement of account containing the particulars referred to in paragraph (2). the customer has requested, in writing, not to receive the statement of account on a monthly basis from the holder.

What is the securities and Futures Act?

Securities and Futures Act (Cap 289, 2006 Rev Ed) Part XII of the SFA addresses prohibited market conduct including, inter alia, false trading and market rigging, market manipulation, and insider trading.

What is Section 203 of the securities and Futures Act?

Section 203(2) SFA provides that an entity, the securities of which are listed for quotation on a securities exchange, shall not intentionally, recklessly or negligently fail to notify the securities exchange of such information as is required to be disclosed by the securities exchange under the listing rules or any

What is the SFA definition of fund management?

Under the SFA, fund management is defined to mean managing the property of, or operating, a collective investment scheme, or undertaking on behalf of customers (a) the management of a portfolio of capital markets products; or (b) the entry into spot foreign exchange contracts for the purpose of managing customers

What are the amendments to the securities and Futures Act?

Some of the key amendments include the extension of the scope of the SFA to over-the-counter derivatives, enhanced regulatory safeguards for retail investors, and the implementation of a stronger enforcement regime against market misconduct.

What is cap 289?

SECURITIES AND FUTURES ACT. (CAP. 289) GUIDELINES ON THE REGULATION OF. MARKETS.

What are the specific classes of investors under SFA?

There are three specific classes of investors defined under the Securities and Futures Act - i) accredited investor ii) expert investor iii) institutional investor.

What is the regulation 45 of the SFR?

Regulation 45 of the SFR provides that borrowing and lending of specified products by a bank (i) must be recorded in a prior written agreement between the bank and the lender or borrower or their duly authorised agent where such agreement includes certain prescribed details; and (ii) must be collateralised.

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What is regulation 40 of the SF LCB R of Singapore?

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What is Section 203 of the securities and Futures Act?

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What are the amendments to the securities and Futures Act?

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What is cap 289?

What are the specific classes of investors under SFA?

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Get the up-to-date Securities and Futures (Licensing And Conduct Of 2024 now

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Got questions?

What is regulation 40 of the SF LCB R of Singapore?

What is the securities and Futures Act?

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What is the SFA definition of fund management?

What are the amendments to the securities and Futures Act?

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What is cap 289?

What are the specific classes of investors under SFA?

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