Securities and Futures (Offers of Investments) (Securities and Securities-based Derivatives Contracts) Regulations 2018
Table of Contents
Enacting Formula
Part 1 PRELIMINARY
1 Citation and commencement
2 Definitions
3 Obligations of specified financial institution
4 Forms
5 Fees
Part 2 PROSPECTUS AND ADVERTISEMENT REQUIREMENTS
6 Information that may be omitted from preliminary document
7 Form and content requirements of product highlights sheet
8 Debenture issuance programme
9 Contents of prospectus
10 Incorporation by reference
11 Supplementary document and replacement document
12 General requirements for documents lodged with Authority
13 Form or medium of document
14 Authorisation to be submitted
15 Making false statement an offence
16 Report about securities or securities-based derivatives contracts published and delivered to institutional investors
17 Requirements for advertisement or publication
18 Approval of advertisement or publication
19 Exemption from regulation 17(1)
Part 3 DEBENTURES
Division 1 Meetings of debenture holders
20 Application of this Division
21 Quorum of debenture holders
22 Adjournment of meeting
23 Passing of resolution
24 Casting of vote
25 Record of meeting
Division 2 Requirements of semi‑annual report under section 268A of Act
26 Preparation and availability of semi‑annual reports
27 Content of semi‑annual reports
28 Disclosure of material information
29 Disclosure of bid or redemption prices and related information
30 Disclosure of financial statements
Part 4 EXEMPTIONS
31 Exemption from section 240 of Act for offer made pursuant to bonus warrant
32 Exemption from section 240A(1)(b), (2)(b), (3), (4), (6), (7) and (9) of Act for offer of continuously issued structured notes
33 Exemption from requirement for expert’s consent under section 249(1) of Act
34 Exemption from aggregation requirement in sections 272A(5)(a) and 272B(3)(a) of Act for structured notes
35 Determination of closely related offer for small offer and private placement
36 Exemption from section 272A(8)(c)(iii) of Act
37 Disclosure requirement under section 273(1)(g)(iii)(B) of Act
38 Contents of offer information statement under section 277 of Act
Part 5 EXTRA‑TERRITORIAL APPLICATION OF DIVISION 1 OF PART XIII OF ACT
39 Non‑applicability of section 339(2) of Act under certain circumstances
Part 6 REVOCATION AND TRANSITIONAL PROVISIONS
40 Revocation
41 Transitional provisions
FIRST SCHEDULE Fees
SECOND SCHEDULE Information that may be omitted from preliminary document
THIRD SCHEDULE Application of Subdivision (2) of Division 1 of Part XIII of Act to offer of debentures or units of debentures (other than continuously issued structured notes) that is part of debenture issuance programme
FOURTH SCHEDULE Interpretation of terms used in Fifth to Nineteenth Schedules
FIFTH SCHEDULE Particulars to be included under section 243(1) of Act in prospectus for offer of shares or units of shares in case mentioned in regulation 9(1)(a)
SIXTH SCHEDULE Particulars to be included under section 243(1) of Act in prospectus for offer of shares or units of shares in case mentioned in regulation 9(1)(b)
SEVENTH SCHEDULE Particulars to be included under section 243(1) of Act in prospectus for offer of debentures or units of debentures (other than asset‑backed securities or structured notes) in case mentioned in regulation 9(3)(a)
EIGHTH SCHEDULE Particulars to be included under section 243(1) of Act in prospectus for offer of asset‑backed securities
NINTH SCHEDULE Particulars to be included under section 243(1) of Act in prospectus for offer of structured notes
TENTH SCHEDULE Particulars to be included under section 243(1) of Act in prospectus for offer of debentures or units of debentures in case mentioned in regulation 9(3)(d)
ELEVENTH SCHEDULE Particulars to be included under section 240A read with section 243(1) of Act in prospectus for every offer of debentures or units of debentures (other than asset‑backed securities or structured notes) under debenture issuance programme, in case mentioned in regulation 9(5)(a)
TWELFTH SCHEDULE Particulars to be included under section 240A read with section 243(1) of Act in prospectus for every offer of asset‑backed securities under debenture issuance programme
THIRTEENTH SCHEDULE Particulars to be included under section 240A read with section 243(1) of Act in prospectus for every offer of structured notes (other than continuously issued structured notes) under debenture issuance programme
FOURTEENTH SCHEDULE Particulars to be included under section 240A read with section 243(1) of Act in prospectus for every offer of continuously issued structured notes under debenture issuance programme
FIFTEENTH SCHEDULE Particulars to be included under section 240A read with section 243(1) of Act in prospectus for every offer of debentures or units of debentures under debenture issuance programme, in case mentioned in regulation 9(5)(e)
SIXTEENTH SCHEDULE Particulars to be included in offer information statement under section 277 of Act for securities or securities‑based derivatives contracts
SEVENTEENTH SCHEDULE Particulars to be included under section 243(1) of Act in prospectus for offer of units or derivatives of units in business trust
EIGHTEENTH SCHEDULE Particulars to be included in offer information statement under section 277 of Act for units or derivatives of units in business trust
NINETEENTH SCHEDULE Information that may be incorporated in prospectus by reference
TWENTIETH SCHEDULE Form of product highlights sheet for asset‑backed securities or structured notes
TWENTY FIRST SCHEDULE Examples of non‑compliance with requirements for advertisement or publication