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This document serves as an application form for the approval of individuals to hold key positions in an approved clearing house as per the Securities and Futures (Clearing Facilities) Regulations
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How to fill out SECURITIES AND FUTURES ACT (CAP. 289)

01
Gather necessary personal and business information.
02
Obtain the relevant forms for the SECURITIES AND FUTURES ACT (CAP. 289) from the official website or regulatory authority.
03
Carefully read the instructions accompanying the forms to understand the requirements.
04
Complete the application form with accurate details, including your financial background and investment objectives.
05
Provide any required supporting documents, such as financial statements and identification.
06
Review the completed forms for accuracy and completeness.
07
Submit the forms and supporting documents to the relevant authority, ensuring to keep a copy for your records.
08
Pay any required fees associated with the submission of the application.

Who needs SECURITIES AND FUTURES ACT (CAP. 289)?

01
Individuals or entities planning to invest in securities.
02
Investment firms and securities brokers operating within the jurisdiction.
03
Companies intending to issue securities to the public.
04
Regulatory bodies and compliance officers overseeing securities and futures markets.
05
Investors seeking to understand their rights and obligations under the law.
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People Also Ask about

Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning securities being offered for public sale; and. prohibit deceit, misrepresentations, and other fraud in the sale of securities.
A “substantial shareholder” is a shareholder who has an interest or interests in one or more voting shares (excluding treasury shares) in the company and the total votes attached to that share, or those shares, is not less than 5% of the total votes attached to all voting shares (excluding treasury shares) in the
Governs the regulation of activities and institutions in the securities and derivatives industry, including leveraged foreign exchange trading of financial benchmarks and of clearing facilities.
The Securities and Futures Act (“SFA”) is a broad-ranging statute which governs Singapore's capital markets and financial investments sector. The SFA puts in place rules and regulations concerning, inter alia, markets, market operators, clearing facilities, intermediaries and representatives.
Different types of investors under the Securities and Futures Act. There are three specific classes of investors defined under the Securities and Futures Act - i) accredited investor ii) expert investor iii) institutional investor. An accredited investor may be determined by the value of his/her/its assets or income.
Dealing in, or advising on, over-the-counter (“OTC”) derivatives contracts are now regulated activities in Singapore under the Securities and Futures Act (“SFA”) and the Financial Advisers Act (“FAA”).
The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.
Section 197(1)(b) of the SFA states that “No person shall do any thing, cause any thing to be done or engage in any course of conduct, if his purpose, or any of his purposes, for doing that thing, causing that thing to be done or engaging in that course of conduct, as the case may be, is to create a false or misleading

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The Securities and Futures Act (Cap. 289) is a piece of legislation in Singapore that regulates the securities and futures markets, aiming to promote transparency, accountability, and investor protection in the financial sector.
Entities such as public companies, financial institutions, and individuals involved in trading securities and futures contracts, as well as those providing services related to the financial markets, are typically required to file under the Securities and Futures Act (Cap. 289).
To fill out the SECURITIES AND FUTURES ACT (Cap. 289), individuals or entities must complete the designated forms provided by the regulatory authority, ensuring all required information is accurately disclosed and submitted within the specified timelines.
The purpose of the Securities and Futures Act (Cap. 289) is to establish a comprehensive legal framework to govern the issuance and trading of securities and futures in Singapore, thereby enhancing the integrity of the financial markets and protecting investors.
Information that must be reported under the Securities and Futures Act (Cap. 289) includes details on securities offerings, financial statements, material disclosures, changes in significant ownership, and other pertinent information related to trading activities.
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