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
02 Jul 2007 Financial Advisers (Exemption from Sections 25 to 29 and 36) RegulationsRegulations
02 Jul 2007 Financial Advisers (Appeals) RegulationsRegulations
26 Apr 2006 Financial Advisers (Appeal Advisory Panel) Notifications 2006Notifications
02 Dec 2005 Notice on Dual Currency Investments [Notice No. FAA-N11]Notices
02 Dec 2005 Financial Advisers (Structured Deposits - Prescribed Investment Product and Exemption) RegulationsRegulations
07 Nov 2005 Financial Advisers (Appeal Advisory Panel) Notifications 2005Notifications
01 Jul 2005 Guidelines on the Use of the Term "Independent" by Financial Advisers [Guideline No. FAA-G05]Guidelines
10 Jun 2005 Financial Advisers (Amendment) Act (Commencement) Notification 2005Notifications
11 May 2004 Practice Note on the Disclosure of Remuneration by Financial Advisers [Practice Note No. FAA-PN01]Practice Notes
29 Feb 2004 Financial Advisers (Transitional and Savings Provisions) RegulationsRegulations
18 Feb 2004 Notice on Inspection Powers [Notice No. FAA-N08]Notices
16 Jan 2004 FAQs on Examination Requirements (PDF, 102KB)FAQs
22 Dec 2003 Financial Advisers (Amendment) Act (Commencement) Notification 2003Notifications
16 Jun 2003 Financial Advisers (Appeal Advisory Panel) Notification 2003Notifications
01 Oct 2002 Financial Advisers (Commencement) (No.2) Notification 2002Notifications

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Last Modified on 29/11/2016