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

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Last Modified on 29/11/2016