Every MAS-required approval, notification and submission for Singapore Licensed Fund Management Companies — searchable by scenario, topic, trigger event, or filing frequency. Summaries are paraphrased from MAS's official toolkit (last revised 29 May 2026); always consult the source for compliance decisions.
Submit Form 1 via eLicensing to seek MAS' approval for a Capital Markets Services licence to operate as an LFMC. Must be filed before commencing business.
Use Form 5 to seek MAS approval before conducting any additional type of regulated activity under the SFA (e.g. dealing in capital markets products on top of fund management).
Submit Form 11 prior to appointing a CEO or Director, or before changing the nature of a Director's appointment from Non-Executive to Executive.
Any person intending to obtain effective control of an LFMC (the acquirer) must seek MAS approval before doing so under section 97A.
An LFMC that is being acquired must seek MAS approval before any change of members or shareholdings that results in any person (alone or with connected persons) controlling ≥20% of voting power or holding ≥20% of issued shares.
Seek MAS approval before acquiring or holding (directly or indirectly) ≥20% of the share capital of any corporation, or before establishing any branch (Singapore or overseas). Excludes corporations set up to arrange a closed-end fund or CIS.
Seek MAS approval before (a) commencing or ceasing business in any regulated activity, or (b) changing the scope of business in a regulated activity, so the correct base capital requirement applies.
Seek MAS approval before reducing paid-up ordinary share capital or paid-up irredeemable, non-cumulative preference share capital.
If an LFMC subject to inspection wants to disclose the inspection report to anyone other than its auditor (in connection with the auditor's duties), MAS approval is required first.
For an LFMC under MAS investigation: prior approval is required to disclose the investigation report to anyone other than the auditor (in connection with auditor's duties).
Before taking positions that would push managed assets above S$250 million, apply to MAS to review the AUM restriction.
File Form 7 (with audit certification that all customer obligations are discharged) when the LFMC ceases any/all regulated activities, or when it hasn't commenced business within 6 months of being granted the licence.
File a Notice for Change in Particulars within 14 days of any change to the LFMC's name or principal place of business.
Notify MAS immediately of any matter that may materially and adversely affect the LFMC's financial position, including (a) actual or likely insolvency, (b) inability to meet obligations, or (c) suspension of payments.
Notify MAS immediately of any change of members or shareholdings that results in someone (alone or with connected persons) controlling less than 20% of voting power or holding less than 20% of issued shares of the LFMC.
Notify MAS at least 7 days before executing any agreement for the purchase, sale, merger, or other business combination of all or part of the regulated business covered by the CMS licence.
File a Notice of Change in Particulars covering: (i) CEO or Director resignation; (ii) change in Director's appointment from Executive to Non-Executive; (iii) change in particulars (address/ID) of CEO/Director in Form 11; (iv) change in business interests or shareholdings of CEO/Director. For (i), no later than 14 days from resignation.
Notify MAS immediately when the LFMC becomes aware that it, or any of its officers or representatives, has committed an offence, is subject to disciplinary action, investigation, civil/criminal proceedings, any breach of laws, regulations, business rules or codes of conduct, or any matter affecting fit-and-proper status.
As soon as practicable, notify MAS when the LFMC has fewer than 2 full-time appointed representatives for any relevant regulated activity under the SFA.
Report (a) significant CIS redemptions and activation of liquidity tools, and (b) suspension of dealings or gating measures. Daily-dealing CIS: T+1 if single-day net redemptions > 5% AUM; T+3 if weekly aggregate > 10% AUM. Weekly-dealing CIS: T+3 if weekly aggregate > 5% AUM. Other CIS: T+3 if aggregate over the dealing period > 10% AUM. Gating/suspension reports: within 3 business days.
Within 14 days of commencement, notify MAS of cross-border arrangements with Foreign Related Corporations or Foreign Offices under SF(ECBA)(FRC)R or SF(ECBA)(FO)R using Form FN.
Within 14 days, notify MAS of any change in particulars to — or cessation of — cross-border arrangements previously notified under SF(ECBA)(FRC)R or SF(ECBA)(FO)R, using Form FC.
Within 1 hour of discovering a system malfunction or IT security incident with severe and widespread impact on operations, or material impact on customer service, notify MAS verbally — call your MAS Review Officer during office hours, or the 24-hour MAS BCM Duty Officer line (6229 9526 / 6229 9527) outside hours.
Notify MAS immediately when including (a) excess of allowable preference share capital over base capital, and/or (b) qualifying subordinated loans in financial resources. These items cannot be included for more than 90 days in a calendar year.
Notify MAS immediately when base capital (or net head office funds) fall or will fall below the prescribed amount under Regulation 4 of the FMR.
Notify MAS immediately when financial resources (or adjusted net head office funds) fall or will fall below the total risk requirement under Regulation 6 of the FMR.
Notify MAS immediately when financial resources (or adjusted net head office funds) fall below 120% of the total risk requirement — the early-warning trigger under Regulation 7 of the FMR.
Notify MAS (a) prior to issuing any preference share, and (b) 3 months before repaying preference share principal (other than paid-up irredeemable non-cumulative preference share capital included in financial resources) via repurchase or redemption.
Notify MAS prior to (a) drawing down a qualifying subordinated loan, (b) early repayment of any subordinated loan principal, and at least one business day before repayment of a matured qualifying subordinated loan.
Submit Form 3A prior to the appointment of an appointed representative.
Submit Form 3B prior to the appointment of a provisional representative.
Submit Form 3C prior to the appointment of a temporary representative.
Submit Form 3D before the expiry of the period specified against the provisional representative's name in the public register of representatives.
Submit Form 6 prior to an appointed representative carrying out an additional regulated activity beyond what's listed against their name in the public register.
File Form 8 when (a) a representative has ceased to act in any/all regulated activities — no later than the next business day after cessation; or (b) an appointed rep hasn't commenced acting in at least one regulated activity within 6 months of being listed — immediate.
Submit Form 16 within 14 days of any change to an appointed representative's particulars.
Submit Form 1 (Statement of Assets and Liabilities) and Form 2 (Statement of Financial Resources, Total Risk Requirement and Aggregate Indebtedness) within 14 days from the end of each quarter.
Submit Forms 1–4 plus Forms 5 & 6 (Auditor's Report and Certification), audited P&L and balance sheet, and any Management Letter within 5 months from the end of the financial year. Forms 1–4 via MAS-Tx Regular Data Returns; Forms 5–6 and auditor's report via MAS-Tx Auditor's Report.
Report representative misconduct covering: (a) fraud/dishonesty or similar offences; (b) market conduct breaches (SFA Part XII); (c) failure to meet Fit and Proper Criteria; (d) non-compliance with any SFA regulated-activity requirement; (e) serious breach of internal policy or code of conduct. File the initial report upon discovery, and an update report when there's significant development in pending investigations or disciplinary actions.
If the LFMC submitted no Misconduct Report in the preceding calendar year, file a Declaration of Nil Return of Misconduct of Representatives within 14 days after calendar year end.
Submit Form FR — annual independent assurance certification and information on cross-border arrangements notified under SF(ECBA)(FRC)R / SF(ECBA)(FO)R — within 5 months from the end of the financial year.
Following a severe/widespread system malfunction or IT security incident (see item 23), submit an initial incident report within 24 hours of discovery, and a final root-cause and impact analysis report within 14 days. The report must cover executive summary, root cause analysis, impact on regulatory compliance / operations / customers, and remedial measures taken.
Source: Monetary Authority of Singapore — Compliance Toolkit for Licensed Fund Management Companies (Approvals, Notifications and Regulatory Submissions to MAS under the Securities and Futures Act). Issued 2 Oct 2020, last revised 29 May 2026. Summaries on this page are paraphrased for searchability. This page is not a substitute for legal or compliance advice — always refer to the official MAS toolkit and underlying legislation.
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