Securities and Futures Act (SFA): Primary legislation governing securities, futures, and derivatives trading activities in Singapore. Regulates broker-dealers, market operators, and other intermediaries.
Financial Advisers Act (FAA): Regulates financial advisory services in Singapore, including requirements for licensing, business conduct, and client relations for financial advisers and brokers.
Insurance Act: Governs insurance business and insurance intermediaries in Singapore, including insurance brokers and their obligations.
Estate Agents Act: Regulates real estate agents and agencies in Singapore, including licensing requirements and professional conduct standards.
Securities and Futures (Licensing and Conduct of Business) Regulations: Detailed regulations specifying licensing requirements and business conduct rules for securities and futures brokers.
Financial Advisers Regulations: Specific regulations under FAA detailing requirements for financial advisory services and broker conduct.
Contract Law: Common law principles governing formation and enforcement of contracts in Singapore.
Companies Act: Regulates the formation and operation of companies in Singapore, relevant for corporate brokers and agencies.
Partnership Act: Governs the formation and operation of partnerships, applicable if the brokerage operates as a partnership.
Competition Act: Ensures fair competition and prevents anti-competitive practices in the market.
Employment Act: Governs employment relationships and protects employees' rights if brokers are considered employees.
Personal Data Protection Act (PDPA): Regulates the collection, use, and disclosure of personal data by organizations, including broker agencies.
Corruption, Drug Trafficking and Other Serious Crimes Act: Contains anti-money laundering provisions that brokers must comply with in their operations.
MAS Notice on Prevention of Money Laundering and Countering the Financing of Terrorism: Specific guidelines from MAS regarding AML/CFT compliance requirements for financial intermediaries.
Central Provident Fund Act: Governs mandatory social security savings system, relevant if brokers are employees requiring CPF contributions.
Work Injury Compensation Act: Provides framework for compensation in case of work-related injuries, applicable if brokers are employees.
