1.2 These Guidelines set out the minimum licensing requirements under the SFA and the minimum licensing admission criteria for persons applying for a Capital Markets Services [“CMS”] licence other than a CMS licence to carry out the regulated activity of fund management. Securities and Futures Act. SFPs have features of both securities and futures. 289) (“SFA”) is the main Singaporean legislation regulating the capital markets and financial investments sector in Singapore. The OSC administers the Securities Act (Ontario) and its General Regulation, as well as the Commodity Futures Act and its General Regulation. 51 of 2001 as amended, taking into account amendments up to Treasury Laws Amendment (Putting Consumers First—Establishment of the Australian Financial Complaints Authority) Act 2018: An Act to provide for the Australian Securities and Investments Commission and certain other bodies, and for other purposes: Administered by: Treasury 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. Act No. The Securities & Futures Act (Cap. Actions Add to My Collections; Amendments RSS Feed . 2. Status: Current version as at 07 Jun 2020 . 289) Rationale Of The 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.” Securities and Futures (Classes of Investors) Regulations 2018. Securities and Futures Act and Financial Advisers Act Under the single licensing regime, an intermediary needs to hold only a single license, either a Capital Markets Services License or Financial Advisers License , to conduct one or more financial services … Exemptions issued under s337(2) SFA - 2Q2019. 289) [“SFA”]. Key changes are as follows. Securities and Futures Act (CHAPTER 289) Securities and Futures (Classes of Investors) Regulations 2018: In exercise of the powers … In January 2017, Parliament passed the Securities and Futures (Amendment) Act 2017 which sought to make changes to the Securities and Futures Act (SFA) administered by the Monetary Authority of Singapore (MAS). The Commodity Futures Modernization Act of 2000 (CFMA) lifted the ban on trading of futures contracts based on single stocks. The Commodity Futures Modernization Act of 2000 (CFMA) is United States federal legislation that ensured financial products known as over-the-counter (OTC) derivatives are unregulated, accelerating the collapses of major financial companies. SECURITIES AND FUTURES ACT (CAP. Exemptions. These Regulations may be cited as the Securities and Futures (Approved Holding Companies) Regulations 2005 and shall come into operation on 1st July 2005. 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. 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.