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
26 Nov 2010 FAQ on Mutual Recognition of MAS and Thai SEC Product Knowledge Examinations (PDF, 83KB)FAQs
26 Nov 2010 Guidelines on Switching of Designated Investment Products [Guideline No. FAA-G10]Guidelines
26 Nov 2010 Guidelines on Structured Deposits [Guideline No. FAA-G09]Guidelines
26 Nov 2010 Guidelines on Standards of Conduct for Financial Advisers and Representatives [Guideline No FAA-G04]Guidelines
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
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
26 Nov 2010 Information Paper on Good Practices for Licensed and Exempt Financial AdvisersInformation Papers
26 Nov 2010 Notice on Reporting of Misconduct of Representatives by Financial Advisers [Notice No. FAA-N14]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
26 Nov 2010 Notice on Entry Requirements of a Provisional Representative [Notice No. FAA-N12]Notices
26 Nov 2010 Notice on Appointment and Use of Introducers by Financial Advisers [Notice No. FAA-N02]Notices
24 Nov 2010 Financial Advisers (Amendment) Act (Commencement) Notification 2010Notifications
25 Oct 2010 Financial Advisers (Exemption from Requirement to hold Representative's Licence)(Revocation) Regulations 2010Regulations

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Last Modified on 16/05/2018