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Results 1 to 4 of 4



MAS consults on draft regulations for financial advisers' Complaints Handling and Resolution

Singapore - October 29 2013 As part of its policy intent to raise practice standards in the financial advisory ("FA") industry, the Monetary Authority of Singapore ("MAS")…

Co-authors: David Yeow, Regina Liew.


Proposed regulations for reporting of OTC derivatives

Singapore - August 1 2013 As part of its policy intent to set up a regulatory framework for over-the-counter ("OTC") derivatives, the Monetary Authority of Singapore ("MA")…

Co-authors: David Yeow, Regina Liew.


Revision to MAS notices concerning sale and recommendation of investment products

Singapore - January 3 2013 The following notices ("Notices") issued by the Monetary Authority of Singapore ("MAS") contain regulatory requirements to be followed when selling or…

Co-authors: David Yeow, Regina Liew.


Securities & Futures (Exemption from Requirement to Hold Capital Markets Services Licence) (Amendment) Regulations 2010

Singapore - September 22 2010 The Sucurities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations ("Exemption Regulations") sets out instances where one is exempted from the Securities and Futures Act (Cap 289) requirement that a person hold a capital markets services licence in order to carry on business (whether as principal or agent) in any regulated activity or hold himself out as such.

Co-authors: Regina Liew.