Related to this Item . The earlier Notice (SFA 04-N06) issued on 1 August 2008 on the same subject is cancelled. The Securities and Futures Act (Cap. ... 197 False trading and market rigging transactions 198 Market manipulation in relation to securities and securities-based derivatives contracts 199 False or misleading statements, etc. Impact/ Consequences: $70,000 civil penalty each Suspension of licence for one year Case 2 : SFA Section 197 (1) (b) False trading and market rigging transactions . In December 1985, the SES and the Kuala Lumpur Stock Exchange were closed …
Brief History 17.1.1 Until 1973, there was no statutory regulation of the Stock Exchange of Singapore (SES) (now Singapore Exchange (SGX)). View exemptions issued under section 337(2) of the Securities and Futures Act for the period from1 April 2019 to 30 June 2019. 289) (the ―Act‖) to the holders of a capital markets services (―CMS‖) licence, exempt financial institutions (―exempt FIs‖) and appointed representatives. Section 197 (1) (b) of the Securities and Futures Act – Prohibits anyone from creating a ‘false or misleading appearance with respect to the market or price of securities”. SECTION 1 BACKGROUND A.
Status: Current version as at 07 Jun 2020 . 289) (“SFA”) is the main Singaporean legislation regulating the capital markets and financial investments sector in Singapore. Exemptions Published Date: 25 July 2019. Securities and Futures (Amendment) Act 2017 (Commencement) (No. Exemptions. Exemptions issued under s337(2) SFA - 2Q2019. 1 This Notice is issued pursuant to section 101 of the Securities and Futures Act (Cap. Securities and Futures Act. For the most part, however, the SES was self-regulating. 2) Notification 2018 takes effect. This changed dramatically in 1985. In that year the Securities Industry Act was enacted.
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