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
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
06 Sep 2011 Guidelines for Financial Institutions to Safeguard the Integrity of Singapore's Financial SystemGuidelines
19 Apr 2011 Notice on the Cancellation Period of Unlisted Debentures [Notice No. FAA-N15]Notices
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

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Last Modified on 29/11/2016