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, 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
23 Oct 2018 Guidelines on Applications for Approval of Arrangements under Paragraph 11 of the First Schedule of the Financial Advisers Act [Guideline No. FAA-G06]Guidelines
10 Oct 2018 Financial Advisers (Amendment No. 5) Regulations 2018Regulations
08 Oct 2018 Financial Advisers (Provisions for Persons and Matters Previously Regulated under Commodity Trading Act) (Revocation) Regulations 2018Regulations
08 Oct 2018 Guidelines on Provision of Digital Advisory Services [CMG-G02]Guidelines
08 Oct 2018 Financial Advisers (Amendment) Act 2015 (Commencement) Notification 2018Notifications
08 Oct 2018 Guidelines on Switching of Designated Investment Products [Guideline No. FAA-G10]Guidelines
08 Oct 2018 Guidelines for Conduct of Business for Execution-Related Advice [Guideline No. FAA-G08]Guidelines
08 Oct 2018 Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]Guidelines
08 Oct 2018 Financial Advisers RegulationsRegulations
08 Oct 2018 Financial Advisers (Exemption from Requirement to Hold Financial Adviser's Licence) Regulations 2014Regulations
08 Oct 2018 Financial Advisers (Remuneration) Regulations 2015Regulations
08 Oct 2018 CMI 01/2011: Due Diligence Checks and Documentation in Respect of the Appointment of Appointed, Provisional and Temporary RepresentativesCirculars
08 Oct 2018 Financial Advisers Act (Amendment of Second Schedule) Order 2018Orders
08 Oct 2018 Practice Note on the Disclosure of Remuneration by Financial Advisers [Practice Note No. FAA-PN01]Practice Notes
08 Oct 2018 Financial Advisers (Remuneration) (Amendment) Regulations 2018Regulations

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Last Modified on 17/10/2018