Singapore legislation

Regulation 3

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

Regulation 3

Forms

Amended byS 385/2012 wef 07/08/2012S 503/2012 wef 19/11/2012S 226/2023 wef 31/12/2021S 373/2005 wef 01/07/2005

Subregulation 1

Amended byS 385/2012 wef 07/08/2012

The forms to be used for the purposes of these Regulations are those set out at the Authority’s Internet website at http://www.mas.gov.sg (under “Regulations and Financial Stability”, “Regulations, Guidance and Licensing”, “Securities, Futures and Fund Management”), and any reference in these Regulations to a numbered form shall be construed as a reference to the current version of the form bearing the corresponding number which is displayed at that website.

Subregulation 2

Amended byS 503/2012 wef 19/11/2012S 226/2023 wef 31/12/2021

Any document required to be lodged with the Authority under any provision of Parts 4, 5 and 6 of the Act or these Regulations shall be lodged in the relevant form and in the manner specified in the website referred to in paragraph (1), or in such other manner as the Authority may specify from time to time.

Subregulation 3

All forms used for the purposes of these Regulations shall be completed in the English language and in accordance with such directions as may be specified in the form or by the Authority.

Subregulation 4

The Authority may refuse to accept any form if —

(a)

it is not completed or lodged in accordance with this regulation; or

(b)

it is not accompanied by the relevant fee referred to in regulation 6.

Subregulation 5

Amended byS 373/2005 wef 01/07/2005

Where strict compliance with any form is not possible, the Authority may allow for the necessary modifications to be made to that form, or for the requirements of that form to be complied with in such other manner as the Authority thinks fit.