Regulatory Alerts2025-08-14
Added
Securities and Futures (Appeals) Regulations 2025
The Securities and Futures Commission issued the Securities and Futures (Appeals) Regulations 2025 to establish the procedural framework for lodging appeals against decisions made by the Authority under the Securities and Futures Act 2001. These regulations mandate the use of specific standardized forms, such as the Notice of Appeal, to ensure all necessary appellant details, grounds for appeal, and service information are accurately recorded. The requirements facilitate the formal submission of appeals by defining the exact data fields and consent mechanisms, including email service, needed for regulatory processing.
FORM 1 Regulation 10(1) SECURITIES AND FUTURES ACT 2001 SECURITIES AND FUTURES (APPEALS) REGULATIONS 2025 NOTICE OF APPEAL Date of Service of Notice on Appeals Secretary: Name of Appellant: NRIC No. / Passport No. / FIN No. / Company Registration No.* of the Appellant: Address(es) of the Appellant: Email address of the Appellant*: Telephone Number(s) of the Appellant: Name of each of the Appellant’s authorised representative or legal representative*: Address of each of the Appellant’s authorised representative or legal representative*: Address for service of documents: Email address for service of documents (if applicable# ): This appeal is made under section ___ of the Securities and Futures Act 2001. The appeal is against the decision of the Authority of: (state the date of the decision of the Authority and provide a brief description of decision of the Authority appealed against, a brief description of the grounds for appealing
against the decision of the Authority, and identify whether the appeal is against the whole, or only part, of the decision of the Authority)
Signature of Appellant/ authorised representative or legal representative acting for the Appellant*
- Delete if inapplicable
By providing an email address for service of documents, the Appellant consents to service of
documents by email