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
01 Nov 2016 Guidelines on Licence Applications Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
03 Sep 2015 Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01]Guidelines
20 Feb 2013 Guidelines on Fair Dealing - Board and Senior Management Responsibilities for Delivering Fair Dealing Outcomes to CustomersGuidelines
26 Nov 2010 Guidelines on Criteria for the Grant of a Financial Adviser's Licence [Guideline No. FAA-G01]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
18 Oct 2013 Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]Guidelines
06 Sep 2011 Guidelines for Financial Institutions to Safeguard the Integrity of Singapore's Financial SystemGuidelines
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
30 Mar 2017 Guidelines for Conduct of Business for Execution-Related Advice [Guideline No. FAA-G08]Guidelines
01 Jul 2015 Financial Advisers RegulationsRegulations
05 Oct 2001 Financial Advisers Bill 2001: Frequently Asked Questions (PDF, 205KB)FAQs
01 Nov 2016 Financial Advisers Amendment Regulations 2016Regulations
13 Jun 2002 Financial Advisers Act: Frequently Asked Questions - Timing Issues (PDF, 19.2KB)FAQs
29 Feb 2004 Financial Advisers (Transitional and Savings Provisions) RegulationsRegulations
02 Dec 2005 Financial Advisers (Structured Deposits - Prescribed Investment Product and Exemption) RegulationsRegulations

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Last Modified on 29/11/2016