Laws
Securities and Futures (Licensing and Conduct of Business) Regulations
reg 3D

In force2004 Revised EditionCurrent version · 2004 Revised EditionSee versions on Singapore Statutes Online(opens the publisher’s site)

Contents

Securities and Futures (Licensing and Conduct of Business) Regulations

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IPreliminary

VDealing in Government Securities

3Forms
3ALodgment of documents and undertaking of responsibilities for representative
3BProvisional representative
3CTemporary representative
3DRepealed
4Register of interests in listed specified products
4APlace at which register is kept
5Change of particulars and additional regulated activity of representative
6Fees
6ARepealed
7Deposit to be lodged in respect of capital markets services licence to deal in capital markets products that are specified products
8Return of deposit
9Lapsing of capital markets services licence
9ACessation of status of appointed representative
11Cessation of business by holder
11AVariation of capital markets services licence
11BLodgment of particulars of cessation
11CObligation to notify Authority of certain matters
12Application for appointment of chief executive officer and director
13Duties of holder of capital markets services licence
13ACriteria for determining if chief executive officer or director of holder of capital markets services licence has breached duties
13BDuties of holder of capital markets services licence for regulated activity of fund management
13CCriteria for determining if chief executive officer or director of holder of capital markets services licence for fund management has breached duties
13DComposition of board of holder of capital markets services licence for real estate investment trust management
13EDisclosure of director’s independence in annual reports of REIT

74 regulations later

Schedules

Securities and Futures (Licensing and Conduct of Business) Regulations · 2004 Revised Edition

Regulation 3D

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Official textFrom Singapore Statutes Online, unchanged

Repealed

[Deleted by S 503/2012 wef 19/11/2012]

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Schedules

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Details

Securities and Futures (Licensing and Conduct of Business) Regulations · reg 3D

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Singapore Statutes Online · Securities and Futures (Licensing and Conduct of Business) Regulations, 2004 Revised Edition. Reader record updated on 2 Aug 2026.

Singapore legislation is Government copyright, used with the permission of the Attorney-General’s Chambers. Check Singapore Statutes Online for the latest version.

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