Securities and Futures Act (SFA): Primary legislation governing securities and derivatives markets in Singapore, covering licensing requirements for broker-dealers, conduct of business requirements, and client money/asset handling rules
Financial Advisers Act (FAA): Regulatory framework for financial advisory services and requirements for dealing with retail clients in Singapore
MAS Guidelines: Regulatory guidelines issued by Monetary Authority of Singapore covering standards of conduct, fair dealing, and AML/CFT requirements
SGX Rules: Singapore Exchange rules covering trading requirements, market conduct, clearing and settlement obligations
Companies Act: Singapore legislation governing corporate governance requirements and director's duties
Contract Law: General contract law principles including Misrepresentation Act and common law principles of contract formation
Personal Data Protection Act (PDPA): Singapore's data protection law governing data privacy requirements and client confidentiality obligations
Capital Requirements: Regulatory capital requirements for broker-dealers operating in Singapore
Risk Management Procedures: mandatory risk management protocols and procedures for broker-dealers
Record Keeping Obligations: Requirements for maintaining proper records and documentation of all broker-dealer activities
Reporting Requirements: mandatory reporting obligations to regulatory authorities including MAS and SGX
Client Documentation Standards: Required standards for client agreements, risk disclosure statements, and other client-related documentation
