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.

Clear Filter

View 15 per page | View 100 per page | View all

Date Title
08 May 2012 Financial Advisers (Representatives)(Transitional and Savings Provisions) Regulations 2010Regulations
31 Dec 2015 Financial Advisers (Remuneration) Regulations 2015Regulations
09 Mar 2017 Financial Advisers (Remuneration) (Amendment) Regulations 2017Regulations
22 Aug 2007 Financial Advisers (Provisions for Persons and Matters Previously Regulated Under Commodity Trading Act) Regulations 2007Regulations
01 Oct 2002 Financial Advisers (Insurance Broking Premium Accounts)(Transitional Savings Provisions) RegulationsRegulations
02 Jul 2007 Financial Advisers (Exemption from Sections 25 to 29 and 36) RegulationsRegulations
25 Oct 2010 Financial Advisers (Exemption from Requirement to hold Representative's Licence)(Revocation) Regulations 2010Regulations
24 Dec 2014 Financial Advisers (Exemption from Requirement to Hold Financial Adviser's Licence) Regulations 2014Regulations
01 Oct 2002 Financial Advisers (Commencement) (No.2) Notification 2002Notifications
26 Mar 2010 Financial Advisers (Appointment of Officers to Exercise Power to Grant Exemption) Notification 2010Notifications
02 Jul 2007 Financial Advisers (Appeals) RegulationsRegulations
26 Apr 2006 Financial Advisers (Appeal Advisory Panel) Notifications 2006Notifications
07 Nov 2005 Financial Advisers (Appeal Advisory Panel) Notifications 2005Notifications
16 Jun 2003 Financial Advisers (Appeal Advisory Panel) Notification 2003Notifications
30 Mar 2017 Financial Advisers (Amendment) Regulations 2017Regulations

View 15 per page | View 100 per page | View all

Back to top

Last Modified on 29/11/2016