Financial Advisers

Financial advisers are licensed and regulated under the Financial Advisers Act. They may provide the whole range of financial advisory services as specified in the Second Schedule of the Financial Advisers Act with the appropriate Financial Advisers licence. Currently, these services include advising others on investment products, issuance of research reports covering investment products, marketing of any collective investment schemes, as well as arranging life policies for others.

 Individuals who are employed by the financial advisers to carry out such services are required to be representatives under the Financial Advisers Act.

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Date Title
30 Jun 2017 Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers [Notice No. FAA-N13]Notices
19 Apr 2017 FAQs on Spreading and Capping of Commission RulesFAQs
04 Apr 2017 FAQs on Financial Advisers Act, Financial Advisers Regulations, Notices and Guidelines (PDF, 594KB) FAQs
31 Mar 2017 Guidelines on the Online Distribution of Life Policies With No Advice [Guideline No. FAA-G15]Guidelines
30 Mar 2017 Financial Advisers (Amendment) Regulations 2017Regulations
30 Mar 2017 Guidelines for Conduct of Business for Execution-Related Advice [Guideline No. FAA-G08]Guidelines
30 Mar 2017 Notice on Recommendations on Investment Products [Notice No. FAA-N16]Notices
09 Mar 2017 Financial Advisers (Remuneration) (Amendment) Regulations 2017Regulations
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
28 Nov 2016 FAQs on the Balanced Scorecard (BSC) FrameworkFAQs
01 Nov 2016 Financial Advisers Amendment Regulations 2016Regulations
01 Nov 2016 Guidelines on Licence Applications Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
27 Jul 2016 SRD TR 01/2016 - MAS Circular (Cancellation) 2016Circulars
31 Dec 2015 Financial Advisers (Amendment) Act 2015 (Commencement) Notification 2015Notifications
31 Dec 2015 Financial Advisers (Amendment No. 3) Regulations 2015Regulations

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Last Modified on 29/11/2016