Our securities and futures regulation team is respected throughout the securities and futures industries, and represents a broad range of clients involved in … Keywords Previously, the Exemption Regulations only exempted Citibank Aktiengesellschaft from the requirement to hold a capital markets services licence when dealing in securities on behalf of any financial institution Q3 Is there a need for a holder of a CMS licence to renew its licence? The Securities and Futures Ordinance provides for the implementation of the single licensing regime with 10 types of regulated activity (RA).

February 22, 2018: Download: Mediation and Conciliation Regulations 2018. Established in 1989, the Securities and Futures Commission (SFC) is an independent statutory body set up to regulate the securities and futures markets in Hong Kong. Securities and Futures (Clearing Facilities) Regulations 2013 In exercise of the powers conferred by sections 60, 77, 81Q, 339(3) and 341 of the Securities and Futures Act, the Monetary Authority of Singapore hereby makes the following Regulations: The SEC’s regulation of the securities markets facilitates capital formation, which helps entrepreneurs start businesses and companies grow. Search regulations by topic. Gazette notices. Securities and Futures (Reporting of Derivatives Contracts) Regulations 2013 In exercise of the powers conferred by sections 129, 129A, 337(1) and 341 of the Securities and Futures Act, the Monetary Authority of Singapore hereby makes the following Regulations: 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. For over 60 years, the Exchange has facilitated capital formation, serving a wide spectrum of participants, including individual and institutional investors, the trading community and listed companies. 7. PSX provides a reliable, orderly, liquid and efficient digitized market place where investors can buy and sell listed companies’ common stocks and other securities. Anti-money laundering and counter-terrorist financing.

A- A+ 289) FREQUENTLY ASKED QUESTIONS ON THE SECURITIES AND FUTURES (REPORTING OF DERIVATIVES CONTRACTS) REGULATIONS 2013 Disclaimer: These FAQs are meant to provide guidance to the industry on MAS’ policy and administration of the Securities and Futures Act and regulations. Securities And Futures (Offers Of Investments) (Collective Investment Schemes) Regulations 2005 (G.N. Suitability requirement. Securities and Futures Ordinance Part XV - Disclosure of Interests. Securities and Futures (Classes of Investors) Regulations 2018 Prescribes additional persons as accredited investors (e.g. Securities and Futures (Clearing of Derivatives Contracts) Regulations 2018 Regulations pertaining to the mandatory centralised clearing of … February 13, 2018: Download: Public Offering Regulations 2017 (Updated January 5, 2018) The Regulations will implement a framework requiring over-the-counter (“OTC”) derivatives to be cleared on central counterparties (“CCPs”). In practice, other non-statutory rules also apply. The Companies Regulations and Securities and Futures Regulations are promulgated under the respective Acts. This client update deals with the recent amendments to the Securities and Futures (Exemption From Requirement to Hold Capital Markets Services Licence) Regulations. Announced by Ashley Alder, Chief Executive of the Hong Kong SFC made an announcement in his speech at the Hong Kong FinTech Week 2019. Clean Copy of Securities and Futures Advisors Regulations 2017 ( updated February 21, 2018) February 23, 2018: Download: Postal Ballot Regulations. Account Opening. Securities & Futures Act/Securities & Futures Regulations activity. FAQs | Feedback. An individual will need one licence or registration to carry on different types of RA. They do not constitute legal advice. A3 A holder of a CMS licence will be issued an electronic licence The Securities and Futures Commission, Hong Kong’s financial regulator, has set out new regulations for Bitcoin and cryptocurrency exchanges on Nov. 6. No. SECURITIES AND FUTURES ACT (CAP. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for … A Singapore Government Agency Website. Please refer to section B below on the Representative Notification Framework for more information on the appointment of representatives. SECURITIES 6 S-42.2 REG 1 Disclosure of securities beneficially owned 3(1) Where the Act or these regulations require the disclosure of the number or percentage of securities beneficially owned by a person and, by virtue of subsection 2(5) of the Act, one or more issuers will also have to be shown as Securities Exchange Act of 1934: Part 240: General Rules and Regulations: Part 241: Index of Interpretive Releases: Part 242: Regulations M, SHO, ATS, AC, and NMS and Customer Margin Requirements for Security Futures: Part 243: Regulation FD: Part 244: Regulation G: Part 245: Regulation Blackout Trading Restriction (Regulation BTR ? The Securities and Futures (Clearing of Derivatives Contracts) Regulations 2018 (“Regulations”) were gazetted on 2 May 2018 and will come into operation on 1 October 2018.
Last year $4.25 trillion was raised in public and private securities offerings, promoting economic growth and job creation.

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