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 Feb 2004 Notice on Inspection Powers [Notice No. FAA-N08]Notices
20 Feb 2013 Notice on Information to Clients and Product Information Disclosure [Notice No. FAA-N03]Notices
26 Nov 2010 Notice on Entry Requirements of a Provisional Representative [Notice No. FAA-N12]Notices
02 Dec 2005 Notice on Dual Currency Investments [Notice No. FAA-N11]Notices
26 Nov 2010 Notice on Appointment and Use of Introducers by Financial Advisers [Notice No. FAA-N02]Notices
02 Jul 2007 MAS Notice FAA-N06 (Cancellation) 2007Notices
26 Nov 2010 Information Paper on Good Practices for Licensed and Exempt Financial AdvisersInformation Papers
30 Nov 2015 Guidelines to MAS Notice FAA-N06 on Prevention of Money Laundering and Countering the Financing of TerrorismGuidelines
01 Jul 2005 Guidelines on the Use of the Term "Independent" by Financial Advisers [Guideline No. FAA-G05]Guidelines
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 Mar 2017 Guidelines on the Online Distribution of Life Policies With No Advice [Guideline No. FAA-G15]Guidelines
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
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
26 Nov 2010 Guidelines on Standards of Conduct for Financial Advisers and Representatives [Guideline No FAA-G04]Guidelines

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Last Modified on 29/11/2016