Appendix B — Essential Readings

Use the current version of each item, and check whether the title, notice number or web location has changed:

Securities and Futures Act.
Securities and Futures (Licensing and Conduct of Business) Regulations.
Securities and Futures (Financial & Margin Requirements for Holders of Capital Markets Services Licences) Regulations.
Banking Act, Section 47 (Banking Secrecy).
Income Tax Act.
Deposit Insurance and Policy Owners’ Protection Schemes Act.
Corruption, Drug Trafficking and Other Serious Crime (Confiscation of Benefits) Act.
Mutual Assistance in Criminal Matters Act.
Terrorism (Suppression of Financing) Act.

The Singapore Guide to Conduct & Market Practices for the Wholesale Financial Markets (the Blue Book).

MAS Guidelines on Fit and Proper Criteria (Guideline No. FSG-01).
Notice on Reporting of Misconduct of Representatives by Holders of CMS Licence and Exempt Financial Institutions (Notice No. 04-N11).
Notice on Minimum Entry and Examination Requirements for Representatives of Holders of CMS Licence and Exempt Financial Institutions (Notice No. 04-N09).
MAS Guidelines for Banks whose Business includes Dealing in Government Securities.
Notice to Capital Markets Intermediaries on Prevention of Money Laundering and Countering the Financing of Terrorism (Notice No. SFA04-N02).
MAS Notice on Prevention of Money Laundering and Countering the Financing of Terrorism - Banks (Notice No. 626).
Circular on Due Diligence Checks and Documentation in Respect of the Appointment of Appointed, Provisional and Temporary Representatives (CMI 01/2011).
MAS Notice on Lending of Singapore Dollar to Non-Resident Market Participant (MAS 757) for Banks.
MAS Notice on Lending of Singapore Dollar to Non-Resident Market Participant (MAS 1105) for Merchant Banks.
MAS Notice on Lending of Singapore Dollar to Non-Resident Market Participant for Capital Markets Services Licence (SFA 04-N04).
Rules and Market Practices of the Singapore Government Securities Market.