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
30 Mar 2015 Financial Advisers (Amendment) Regulations 2015Regulations
02 Mar 2015 Practice Note on Recommendations on Investment Products [FAA PN-02]Practice Notes
24 Dec 2014 Financial Advisers (Exemption from Requirement to Hold Financial Adviser's Licence) Regulations 2014Regulations
26 Sep 2014 SRD TR 02/2014 IT Security Risks Posed by Personal Mobile DevicesCirculars
26 May 2014 SRD TR 01/2014 System Vulnerability Assessments And Penetration TestingCirculars
10 Jan 2014 FAQs on Minimum Entry and Examination RequirementsFAQs
18 Oct 2013 Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]Guidelines
21 Jun 2013 Notice on Technology Risk Management [Notice No. FAA-N18]Notices
18 Mar 2013 Financial Advisers (Amendment) Act 2012 (Commencement) Notification 2013Notifications
20 Feb 2013 Notice on Information to Clients and Product Information Disclosure [Notice No. FAA-N03]Notices
20 Feb 2013 Guidelines on Fair Dealing - Board and Senior Management Responsibilities for Delivering Fair Dealing Outcomes to CustomersGuidelines
23 Jan 2013 Notice on Reporting of Suspicious Activities & Incidents of Fraud [Notice No. FAA-N17]Notices
06 Aug 2012 FAQs on Exempt PersonsFAQs
10 May 2012 FAQs on Section 6 of the Insurance Act and Section 33 of the Financial Advisers Act (PDF, 521KB)FAQs
08 May 2012 Financial Advisers (Representatives)(Transitional and Savings Provisions) Regulations 2010Regulations

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

Back to top

Last Modified on 16/05/2018