FAQs on Licensing and Business Conduct (Other than for Fund Management Companies) last revised on 01 Apr 2014. 2 The tax collector is responsible for the issuance of permits to conduct fire and going out of business sales. Business-Related Subjects CBA Regulations section 9.2(c) defines the following subjects as qualifying toward the 24 semester units of core business-related subject requirement: Business Administration Economics Business Communications Finance Business Law Marketing Business … Form 3A - Notification for Appointment of an Appointed Representative, Licensing, Authorisation and Registration, FAQs on the Licensing and Registration of Fund Management Companies, Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [SFA 04-G05], Form 1A - Application for a Capital Markets Services Licence for Fund Management Company, Form 22A - Notice of Commencement of Business as a Registered Fund Management Company, Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive (For Capital Markets Services Licensees), Form 1 - Application for a Capital Markets Services Licence (Other than for a Fund Management Company), Securities and Futures (Classes of Investors) Regulations 2018, Offers of Securities or Securities-Based Derivatives Contracts, Form 1V - Application for a Capital Markets Services Licence for Venture Capital Fund Manager, Form 3C - Notification for Appointment of a Temporary Representative, Form 5 - Application for Additional Regulated Activity under a Capital Markets Services Licence, Form 6 - Notification to Add Activity/Activities of a Representative, Securities and Futures (Exemption from Requirement to Hold Capital Markets Services Licence) Regulations, Form 3B - Notification for Appointment of a Provisional Representative, Guidelines on Criteria for the Grant of a Capital Markets Services Licence Other Than for Fund Management and Real Estate Investment Trust Management [SFA 04-G01], Guidelines to All Holders of a Capital Markets Services Licence for Real Estate Investment Trust Management [SFA 04-G07], Notice SFA 04-N10 Entry Requirements of a Provisional or Temporary Representative, Consultation Paper on Granting of Temporary Capital Markets Services Representative's Licence, Securities and Futures (Opportunity to be Heard) Regulations, Supervisory Approach and Regulatory Instruments, Lists of Designated Individuals and Entities, Grants for Smaller Financial Institutions, Recent Economic Developments in Singapore, Singapore Overnight Rate Average (SORA) Interest Rate Benchmark, Singapore Government Securities (SGS) Bonds, Investing in Singapore Government Securities (SGS) Bonds, Investing in Singapore Savings Bonds (SSB), Brunei-Singapore Currency Interchangeability Agreement, Reproduction of Singapore Currency Images, Money and Banking Monthly Statistical Bulletin, Financial Sector Development Fund Annual Report, Monetary Authority: Assets and Liabilities, International Reserves/Foreign Currency Liquidity, Interest Rates of Banks and Finance Companies, View a list of Application Programming Interfaces (APIs), Opportunities for Mid-Career Professionals. A state business license is a document that offers proof that a business is legally allowed to operate in that state. Entities that intend to commence business as registered fund management companies or licensed fund management companies (other than as VCFMs) should submit Form 22A or Form 1A respectively. And to obtain a business license, a person should first register within the central register and trade name register. If you conduct a business that involves supplying one or more individuals to work in a business owned by another person you need to apply for a licence to operate as a labour hire provider. The pre-license education course is a basic business course that covers relevant regulations, statutes, and requirements that are necessary for every business owner. Business licenses are permits issued by government agencies that allow individuals or companies to conduct business within the government's geographical jurisdiction.It is the authorization to start a business issued by the local government. 33 Lending of customer’s specified products, 37 Computation for trust accounts and custody accounts, 38 Customer’s moneys and assets held by approved clearing house or recognised clearing house, 39 Books of holder of capital markets services licence, 40 Provision of statement of account to customers, 41 Documentation required by Authority, approved exchange or approved clearing house, 43 Limits for unsecured credit and credit facilities, 45 Specified products borrowing and lending, 46AD Advertisement other than product advertisement, 47A Disclosure of certain interests in respect of underwriting agreement, 47DA General risk disclosure requirements, 48 Compliance with Rules and Market Practices, 52 Non-applicability of section 339 (2) of Act under certain circumstances, 54 Banks, merchant banks and finance companies, 54B Exempt persons dealing in non-centrally cleared derivatives contracts on behalf of accredited investors, expert investors or institutional investors, 57 Exemption from section 82(1) of Act for corporations previously carrying on business in dealing in specified OTC derivatives contracts, 58 Exemptions from Act for persons previously holding financial adviser’s licence for marketing of any collective investment scheme and their representatives, 59 Exemption from Act for persons previously acting as representatives, 60 Exemptions for exempt persons previously carrying on business in dealing in specified contracts, 61 Exemptions for holders of capital markets services licence in respect of business in dealing in capital markets products that are specified OTC derivatives contracts, and representatives of such holders, 62 Exemption for holders of capital markets services licence, and representatives of such holders in respect of regulated activity other than dealing in capital markets products that are specified OTC derivatives contracts, 63 Exemption for exempt persons under section 99(1)(, 64 Exemption for exempt persons under section 99(1)(, Revised Editions of Subsidiary Legislation, “advertisement” means any dissemination or conveyance of information in connection with a promotion of, or an invitation or a solicitation in respect of, any product or service, by any means or in any form, including by means of —. Late renewal fee State Business License. The business license program is responsible for issuing business licenses to all persons who conduct business in the City of Surprise. Summary: This table covers state laws and administrative regulations affecting commercial dog breeders. Under the Safe Food for Canadians Act (SFCA) and Safe Food for Canadians Regulations (SFCR), many food businesses require a licence to carry out activities with respect to food. If you operate short-term rentals (STRs) in Seattle, you must have both a business license tax certificate and a regulatory license for STRs. Copyright © 2021 Government of Singapore. COVID-19 Information. FAQs on Licensing and Business Conduct (Other than for Fund Management Companies) last revised on 24 Nov 2017. Provides for a person to be given an opportunity to be heard by MAS and to be given at least 10 days to submit any written supporting documents as to why MAS should reconsider the decision it intends to make. the balance-sheet or the profit and loss accounts relate to that person’s business in Singapore; “electronic record” has the same meaning as in section 2 of the Electronic Transactions Act (Cap. All up-to-date DHS rules are filed on the Secretary of State’s website. 19 Customer’s money deposited with approved clearing house, etc. such other securities or class of securities as the Authority may from time to time, by a guideline issued by the Authority, determine; “booked in Singapore”, in relation to an OTC derivatives contract, means the entry of the OTC derivatives contract on the balance-sheet or the profit and loss accounts of a person who is a party to the OTC derivatives contract, where —, that person’s place of business is in Singapore; and. Companies may find they are subject to both registration requirements-USDOT Number and MC Number-or either one separately. 81A) or section 2 of the Government Securities Act (Cap. ... Revenue Discovery Systems (RDS) is the authorized third party contractor of the City of Sandy Springs to conduct this audit. All rights reserved. See also, (CHAPTER 289, Sections 2(1), 84, 85, 87, 90, 91, 93 to 97, 99, 100, 102, 104, 118, 120, 123, 128, 337, 339(3) and 341). Conduct of Business Answers to some common questions about firearms licensing requirements, procedures for federal firearms licensee forms and filings, ammunition sales and the shipping of firearms. AQs on Licensing and Business Conduct (Other than for Fund Management Companies) last revised on 29 Sep 2017. 121A); and. Should any difference or discrepancy occur, duly enacted statutes or regulations shall take precedence over the information contained herein. 1. How to qualify to be and conduct your business as a fund manager. partnership where each partner is an accredited investor) and institutional investors (e.g., designated market-maker and registered fund management company) for the purpose of the SFA. Access regulations, updates and licensing information, Regulations, guidance and licensing for deposit-taking institutions, Regulations, guidance and licensing for capital market entities, Regulations, guidance and licensing for insurers, Regulations, guidance and licensing for payment service providers and systems, Information on MAS’ approach, strategies and efforts in these key areas, MAS’ approach to supervision and the instruments under the Acts it administers, Find out about MAS’ strategies to develop and support the financial sector, Discover what makes Singapore a leading global financial centre, Find out how MAS is co-creating a Smart Financial Centre, Latest information on MAS’ FinTech strategy, initiatives and funding schemes, Get funding on proof-of-concepts, hiring, business development and more, Sandbox relaxes regulatory requirements to enable live experiments of innovation, Various payment initiatives including SGQR, FAST and PayNow, World’s first open architecture platform for FIs to discover FinTechs and deploy solutions, The GTCN is a cross-border DLT project to digitalise trade and trade finance, Industry collaboration that explores blockchain’s usage for Central Bank Digital Currency, World’s largest festival for the FinTech community to connect, collaborate and co-create, Fast track intellectual property protection through various initiatives, A collaborative AI-driven global solutions hub to foster SME digitalisation, Find out about the opportunities and plans that MAS has to grow your business areas, Read about the support that is available for your business operations, Find out how MAS and our partners build a pipeline of financial professionals and leaders, Read about MAS’ monetary policy framework, central bank operations and related information, Get information on SSB, SGS Bonds, T-bills, MAS Bills and MAS FRN, Discover more about the Singapore’s currency, Access the various consultations, monographs, macroeconomic reviews and other publications, View data on Singapore’s financial sector, reserves statistics, exchange rates and others, Get the latest news, speeches, updates and announcements, Find out about working in MAS and the various opportunities that are available. How to qualify to be a CMS licensee (other than a fund manager or REIT manager). Some states require business licenses at the state level, but oftentimes business licensing is done at the city or local level. Through its licensing and business filing capacities the division promotes business growth while protecting the health, safety, and welfare of all New Yorkers. Business regulations vary by state, local and federal government, and by industry. UWF Small Business Development Center (UWF SBDC) 9999 University Parkway Pensacola, FL 32514 Phone: 850-474-2528. publication in a newspaper, magazine, journal or other periodical; circulars, handbills, brochures, pamphlets, books or other documents; letters addressed to individuals or bodies; sound broadcasting, television, the Internet or other media; “approved global trading company” means a global trading company approved under section 43P of the Income Tax Act (Cap. Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of representatives. Form for entities to apply to be a licensed venture capital fund manager (VCFM). 20 Investment of moneys received on account of customers, 21 Withdrawal of money from trust account. 3A Lodgment of documents and undertaking of responsibilities for representative, 4 Register of interests in listed specified products, 5 Change of particulars and additional regulated activity of representative, 7 Deposit to be lodged in respect of capital markets services licence to deal in capital markets products that are specified products, 9 Lapsing of capital markets services licence, 9A Cessation of status of appointed representative, 11A Variation of capital markets services licence, 12 Application for appointment of chief executive officer and director, 13 Duties of holder of capital markets services licence, 13A Criteria for determining if chief executive officer or director of holder of capital markets services licence has breached duties, 13B Duties of holder of capital markets services licence for regulated activity of fund management, 13C Criteria for determining if chief executive officer or director of holder of capital markets services licence for fund management has breached duties, 13D Composition of board of holder of capital markets services licence for real estate investment trust management, 13E Disclosure of director’s independence in annual reports of REIT, 13F Independence from management of holder and REIT managed or operated by holder, 13G Independence from business relationship with holder and REIT managed or operated by holder, 13H Independence from substantial shareholder of holder and substantial unitholder of REIT, 14A Holders of capital markets services licences and representatives, etc., to be fit and proper persons, 17 Maintenance of trust account with specified financial institutions, 18 Notification and acknowledgment from specified financial institutions, 18A Disclosure to customers in relation to moneys received on account of customers. 23 Placement of licensee’s own money in trust account, 26 Duties of holder on receipt of customer’s assets, 27 Maintenance of custody account with specified custodians, 27A Disclosure to customers in relation to assets received on account of customers, 28 Notification and acknowledgment from specified custodians. The permit is … 22 Interest arising from trust account, etc. Form for entities to apply to be a registered fund management company. book-entry Treasury Bills as defined in section 2 of the Local Treasury Bills Act (Cap. Certain Basic Business licensees are required to maintain insurance and bond coverage as specified in the D.C. Municipal Regulations. Sets out exemption for Citibank Aktiengesellschaft and other persons (e.g. Form for entities to apply to be a licensed fund management company. The rules must be clear, our regulations have to be proportionate and competition has to be sustainable. SSTS work in Minnesota must be completed by licensed businesses under the supervision of certified individuals (with certain licensure exemptions, such local units of government that conduct SSTS work; see Minn. Stat. Get licensed to operate short-term rentals. A single jurisdiction often requires multiple licenses that are issued by multiple government departments and agencies. … all or any of the units of which are listed for quotation on an approved exchange; “retail customer” means a customer other than an accredited investor, expert investor or institutional investor; “Rules and Market Practices” means the Rules and Market Practices (including any amendment and modification thereto) of the Singapore Government Securities Market as promulgated from time to time by the Singapore Government Securities Market Committee of the Singapore Government Securities Market; “specified OTC derivatives contract” means an OTC derivatives contract that —, is not a securities-based derivatives contract; and. These Regulations may be cited as the Securities and Futures (Licensing and Conduct of Business) Regulations. Allowed to operate in that state University Parkway Pensacola, FL 32514 Phone: 850-474-2528 markets products services. 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