Singapore legislation

Regulation 23

of Securities and Futures (Licensing and Conduct of Business) Regulations

Regulation 23

Placement of licensee’s own money in trust account

Amended byS 373/2005 wef 01/07/2005S 667/2018 wef 08/10/2018

Subregulation 1

Amended byS 373/2005 wef 01/07/2005

Notwithstanding regulation 16(1), the holder of a capital markets services licence may from time to time advance sufficient money to a customer’s trust account from its own funds —

(a)

to prevent the customer’s trust account from being under-margined or under-funded; or

(b)

to ensure the continued maintenance of that account in a case where it is maintained with —

(i)

a financial institution specified in regulation 17(1); or

(ii)

a custodian specified in regulation 17(2).

Subregulation 2

The holder may retain any interest earned and return arising on the moneys which it has so advanced to the account.

Subregulation 3

Amended byS 667/2018 wef 08/10/2018

Subject to regulation 21(1)(e), any money belonging to the holder that is deposited into a customer’s trust account may be used for the purpose of payment to the customer.