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
30 Aug 2018 System Training Video for Financial Institutions on the Use of the Corporations and Representatives System (CoRe) for the Submission of Representative Notifications to MASFAQs
13 Aug 2018 Financial Advisers (Amendment No. 3) Regulations 2018Regulations
06 Jul 2018 Notice on Recommendations on Investment Products [Notice No. FAA-N16]Notices
29 Jun 2018 Guidelines on the Online Distribution of Life Policies With No Advice [Guideline No. FAA-G15]Guidelines
14 Jun 2018 Financial Advisers (Amendment No. 2) Regulations 2018Regulations
14 Jun 2018 Financial Advisers (Amendment) Regulations 2018Regulations
12 Jun 2018 FAQs on Securities and Futures Act and Financial Advisers Act Activities Validation via the Data Validation Module in the Representative Notification System FAQs
12 Jun 2018 FAQs on Product DefinitionsFAQs
11 Apr 2018 Notice on Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers [Notice No. FAA-N13]Notices
24 Nov 2017 FAQs on Financial Advisers Act, Financial Advisers Regulations, Notices and Guidelines (PDF, 594KB) FAQs
19 Apr 2017 FAQs on Spreading and Capping of Commission RulesFAQs
30 Mar 2017 Financial Advisers (Amendment) Regulations 2017Regulations
30 Mar 2017 Guidelines for Conduct of Business for Execution-Related Advice [Guideline No. FAA-G08]Guidelines
09 Mar 2017 Financial Advisers (Remuneration) (Amendment) Regulations 2017Regulations
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines

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Last Modified on 16/05/2018