Singapore legislation

Section 37

of Securities Industry Act

Section 37

(1)

The Authority shall keep in such form as it thinks fit a register of the holders of current licences, specifying —

(a)

in relation to each holder of a dealer’s or investment adviser’s licence —

(i)

his name;

(ii)

the address of the principal place of business at which he carries on the business in respect of which the licence is held; and

(iii)

where the business is carried on under a name or style other than the name of the holder of the licence, the name or style under which the business is carried on; and

(b)

in relation to each holder of a representative’s licence —

(i)

his name;

(ii)

the name of the dealer or investment adviser in relation to whom the licence was issued; and

(iii)

where the business of that dealer or investment adviser is carried on under a name or style other than the name of the dealer or investment adviser, the name or style under which that business is carried on.

(2)

Any person may, upon payment of the prescribed fee, inspect and take extracts from the register kept under subsection (1).

Read in full context — Securities Industry Act →