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