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
31 Dec 2015 Guidelines on the Remuneration Framework for Representatives and Supervisors ("Balanced Scorecard Framework"), Reference Checks and Pre-Transaction Checks [Guideline No. FAA-G14]Guidelines
31 Dec 2015 Notice on Requirements for the Remuneration Framework for Representatives and Supervisors ("Balanced Scorecard Framework") and Independent Sales Audit Unit [Notice No. FAA-N20]Notices
31 Dec 2015 Financial Advisers (Remuneration) Regulations 2015Regulations
30 Nov 2015 Guidelines to MAS Notice FAA-N06 on Prevention of Money Laundering and Countering the Financing of TerrorismGuidelines
30 Nov 2015 Notice to Financial Advisers on Prevention of Money Laundering and Countering the Financing of Terrorism [Notice No. FAA-N06]Notices
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
03 Sep 2015 Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01]Guidelines
01 Jul 2015 Financial Advisers RegulationsRegulations
30 Mar 2015 Notice on the Distribution of Direct Purchase Insurance Products [Notice No. FAA-N19]Notices
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

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Last Modified on 29/11/2016