Regulatory Alerts2026-06-12
Added
Notice SFA 04-N07 Prohibited Representations Made by Exempt Persons Under the Securities & Futures Regulations
The Monetary Authority of Singapore issued this notice to prohibit exempt corporate finance advisers, futures brokers, and OTC derivatives brokers from representing that they are licensed, supervised, regulated, or registered by the MAS. The regulation specifically targets entities exempt from holding a Capital Markets Services licence to prevent misleading claims about their regulatory status. This prohibition is enforced under the Securities & Futures (Licensing & Conduct of Business) Regulations to maintain market integrity and investor protection.
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