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Securities and Futures (Licensing And Conduct Of 2026
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- Click ‘Get Form’ to open the Securities and Futures (Licensing And Conduct Of document in the editor.
- Begin by filling in the required fields marked with an asterisk (*), such as the Name of Company, Company Registration Number (UEN), and Financial Year Ended date.
- In Section 1, select the type of company you are representing: either Registered Fund Management Company or Venture Capital Fund Manager.
- Proceed to Section 2, where you will provide details on Total Assets Under Management (AUM). Ensure to break down AUM by clientele type and fund type as specified.
- In Section 3, complete the declaration by entering your name, identification number, and position. Confirm that all statements regarding compliance with regulations are accurate.
- Once completed, save your form and log into your MASNET account for submission. An internet connection is necessary for this step.
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What is a substantial shareholder in the Securities and Futures Act?
A substantial shareholder is a shareholder who has an interest or interests in one or more voting shares (excluding treasury shares) in the company and the total votes attached to that share, or those shares, is not less than 5% of the total votes attached to all voting shares (excluding treasury shares) in the
What is the SFA obligation?
The SFA contains an undertaking that the parties who will be invited to become a lender are not, to the knowledge of the arranger, associates of any of the others invitees or the arranger. The SFA contains an undertaking that parties known to be offshore associates of the borrower will not invited to be lenders.
What is the summary of the securities and Futures Act?
The Securities and Futures Act (SFA) describes itself as relating to the regulation of activities and institutions in the securities and futures industry, including leveraged foreign exchange trading, and of clearing facilities, and for matters connected therewith.
What is Section 82 of the Securities and Futures Act SFA?
2.1 Section 82(1) of the SFA provides that no person shall, whether as principal or agent, carry on business in any regulated activity as specified in the Second Schedule to the SFA, or hold himself out as carrying on such business for any regulated activity1 under the SFA, unless he is a holder of a capital markets
What is the Part 12 of the securities and Futures Act?
Part XII of the SFA addresses prohibited market conduct including, inter alia, false trading and market rigging, market manipulation, and insider trading. Part of the SFA governs the offering of financial products including shares and debentures, business trusts, collective investment schemes.
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What activities are regulated under the securities and Futures Act?
A1 The types of activities regulated under the SFA are listed in the Second Schedule to the SFA. They are as follows: (a) dealing in capital markets products1; (b) advising on corporate finance; (c) fund management; (d) real estate investment trust management; (d) product financing; (e) providing custodial services.