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
07 Feb 2011 CMI 01/2011: Due Diligence Checks and Documentation in Respect of the Appointment of Appointed Provisional and Temporary RepresentativesCirculars
28 Oct 2015 CMI 05/2015 Circular to Financial Advisers on Enhancing Anti-Money Laundering & Countering the Financing of Terrorism Measures and Business Conduct Circulars
26 Nov 2010 FAQ on Mutual Recognition of MAS and Thai SEC Product Knowledge Examinations (PDF, 83KB)FAQs
16 Jan 2004 FAQs on Examination Requirements (PDF, 102KB)FAQs
06 Aug 2012 FAQs on Exempt PersonsFAQs
04 Apr 2017 FAQs on Financial Advisers Act, Financial Advisers Regulations, Notices and Guidelines (PDF, 594KB) FAQs
13 Aug 2008 FAQs on Licensing Requirements under Financial Advisers ActFAQs
10 Jan 2014 FAQs on Minimum Entry and Examination RequirementsFAQs
10 May 2012 FAQs on Section 6 of the Insurance Act and Section 33 of the Financial Advisers Act (PDF, 521KB)FAQs
19 Apr 2017 FAQs on Spreading and Capping of Commission RulesFAQs
28 Nov 2016 FAQs on the Balanced Scorecard (BSC) FrameworkFAQs
31 Dec 2015 Financial Advisers (Amendment No. 3) Regulations 2015Regulations
22 Dec 2003 Financial Advisers (Amendment) Act (Commencement) Notification 2003Notifications
10 Jun 2005 Financial Advisers (Amendment) Act (Commencement) Notification 2005Notifications
24 Nov 2010 Financial Advisers (Amendment) Act (Commencement) Notification 2010Notifications
18 Mar 2013 Financial Advisers (Amendment) Act 2012 (Commencement) Notification 2013Notifications
31 Dec 2015 Financial Advisers (Amendment) Act 2015 (Commencement) Notification 2015Notifications
30 Mar 2015 Financial Advisers (Amendment) Regulations 2015Regulations
30 Mar 2017 Financial Advisers (Amendment) Regulations 2017Regulations
16 Jun 2003 Financial Advisers (Appeal Advisory Panel) Notification 2003Notifications
07 Nov 2005 Financial Advisers (Appeal Advisory Panel) Notifications 2005Notifications
26 Apr 2006 Financial Advisers (Appeal Advisory Panel) Notifications 2006Notifications
02 Jul 2007 Financial Advisers (Appeals) RegulationsRegulations
26 Mar 2010 Financial Advisers (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2010Notifications
01 Oct 2002 Financial Advisers (Commencement) (No.2) Notification 2002Notifications
24 Dec 2014 Financial Advisers (Exemption from Requirement to Hold Financial Adviser's Licence) Regulations 2014Regulations
25 Oct 2010 Financial Advisers (Exemption from Requirement to hold Representative's Licence)(Revocation) Regulations 2010Regulations
02 Jul 2007 Financial Advisers (Exemption from Sections 25 to 29 and 36) RegulationsRegulations
01 Oct 2002 Financial Advisers (Insurance Broking Premium Accounts)(Transitional Savings Provisions) RegulationsRegulations
22 Aug 2007 Financial Advisers (Provisions for Persons and Matters Previously Regulated Under Commodity Trading Act) Regulations 2007Regulations
09 Mar 2017 Financial Advisers (Remuneration) (Amendment) Regulations 2017Regulations
31 Dec 2015 Financial Advisers (Remuneration) Regulations 2015Regulations
08 May 2012 Financial Advisers (Representatives)(Transitional and Savings Provisions) Regulations 2010Regulations
02 Dec 2005 Financial Advisers (Structured Deposits - Prescribed Investment Product and Exemption) RegulationsRegulations
29 Feb 2004 Financial Advisers (Transitional and Savings Provisions) RegulationsRegulations
13 Jun 2002 Financial Advisers Act: Frequently Asked Questions - Timing Issues (PDF, 19.2KB)FAQs
01 Nov 2016 Financial Advisers Amendment Regulations 2016Regulations
05 Oct 2001 Financial Advisers Bill 2001: Frequently Asked Questions (PDF, 205KB)FAQs
01 Jul 2015 Financial Advisers RegulationsRegulations
30 Mar 2017 Guidelines for Conduct of Business for Execution-Related Advice [Guideline No. FAA-G08]Guidelines
26 Nov 2010 Guidelines for Exemption for Specialised Units serving High Net Worth Individuals under Section 100(2) of the Financial Advisers Act [Guideline No. FAA-G07]Guidelines
06 Sep 2011 Guidelines for Financial Institutions to Safeguard the Integrity of Singapore's Financial SystemGuidelines
18 Oct 2013 Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]Guidelines
26 Nov 2010 Guidelines on Applications for Approval of Arrangements under Paragraph 11 of the First Schedule of the Financial Act [Guideline No. FAA-G06]Guidelines
26 Nov 2010 Guidelines on Criteria for the Grant of a Financial Adviser's Licence [Guideline No. FAA-G01]Guidelines
20 Feb 2013 Guidelines on Fair Dealing - Board and Senior Management Responsibilities for Delivering Fair Dealing Outcomes to CustomersGuidelines
03 Sep 2015 Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01]Guidelines
01 Nov 2016 Guidelines on Licence Applications Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
26 Nov 2010 Guidelines on Standards of Conduct for Financial Advisers and Representatives [Guideline No FAA-G04]Guidelines
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
26 Nov 2010 Guidelines on Structured Deposits [Guideline No. FAA-G09]Guidelines
26 Nov 2010 Guidelines on Switching of Designated Investment Products [Guideline No. FAA-G10]Guidelines
31 Mar 2017 Guidelines on the Online Distribution of Life Policies With No Advice [Guideline No. FAA-G15]Guidelines
31 Dec 2015 Guidelines on the Remuneration Framework for Representatives and Supervisors ("Balanced Scorecard Framework"), Reference Checks and Pre-Transaction Checks [Guideline No. FAA-G14]Guidelines
01 Jul 2005 Guidelines on the Use of the Term "Independent" by Financial Advisers [Guideline No. FAA-G05]Guidelines
30 Nov 2015 Guidelines to MAS Notice FAA-N06 on Prevention of Money Laundering and Countering the Financing of TerrorismGuidelines
26 Nov 2010 Information Paper on Good Practices for Licensed and Exempt Financial AdvisersInformation Papers
02 Jul 2007 MAS Notice FAA-N06 (Cancellation) 2007Notices
26 Nov 2010 Notice on Appointment and Use of Introducers by Financial Advisers [Notice No. FAA-N02]Notices
02 Dec 2005 Notice on Dual Currency Investments [Notice No. FAA-N11]Notices
26 Nov 2010 Notice on Entry Requirements of a Provisional Representative [Notice No. FAA-N12]Notices
20 Feb 2013 Notice on Information to Clients and Product Information Disclosure [Notice No. FAA-N03]Notices
18 Feb 2004 Notice on Inspection Powers [Notice No. FAA-N08]Notices
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
26 Nov 2010 Notice on Prohibited Representations Made by Persons Exempted under Regulation 27(1)(d) of the Financial Advisers Regulations (Rg 2) [Notice No. FAA-N10]Notices
30 Mar 2017 Notice on Recommendations on Investment Products [Notice No. FAA-N16]Notices
26 Nov 2010 Notice on Reporting of Misconduct of Representatives by Financial Advisers [Notice No. FAA-N14]Notices
23 Jan 2013 Notice on Reporting of Suspicious Activities & Incidents of Fraud [Notice No. FAA-N17]Notices
31 Dec 2015 Notice on Requirements for the Remuneration Framework for Representatives and Supervisors ("Balanced Scorecard Framework") and Independent Sales Audit Unit [Notice No. FAA-N20]Notices
21 Jun 2013 Notice on Technology Risk Management [Notice No. FAA-N18]Notices
19 Apr 2011 Notice on the Cancellation Period of Unlisted Debentures [Notice No. FAA-N15]Notices
30 Mar 2015 Notice on the Distribution of Direct Purchase Insurance Products [Notice No. FAA-N19]Notices
30 Nov 2015 Notice to Financial Advisers on Prevention of Money Laundering and Countering the Financing of Terrorism [Notice No. FAA-N06]Notices
02 Mar 2015 Practice Note on Recommendations on Investment Products [FAA PN-02]Practice Notes
11 May 2004 Practice Note on the Disclosure of Remuneration by Financial Advisers [Practice Note No. FAA-PN01]Practice Notes
26 May 2014 SRD TR 01/2014 System Vulnerability Assessments And Penetration TestingCirculars
27 Jul 2016 SRD TR 01/2016 - MAS Circular (Cancellation) 2016Circulars
26 Sep 2014 SRD TR 02/2014 IT Security Risks Posed by Personal Mobile DevicesCirculars

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Last Modified on 29/11/2016