Forms

All forms should be submitted via electronic means. Please refer to Notes below for the details.

Provisions of the Financial Advisers Act  (Cap 110) and the Financial Advisers Regulations (Rg 2)

Description of forms

Form Number

Section 8(1)

Application for a Financial Adviser's Licence

1

(E-form,176KB)

Section 16(1) read with regulation 9

Application for Variation of a Financial Adviser's Licence

2
(E-form,110KB)

Section 23C and regulation 4A

Notification for Appointment of an Appointed Representative

3A

(PDF, 93KB)

This PDF form should be used only by corporations which are applying for a Financial Advisers' Licence for the notification of appointment of representatives and it should be submitted by email.

The On-line Format of this form should be used by a holder of a Financial Advisers' Licence for the notification of appointment of representatives and it should be submitted using MASNET. Please refer to Notes at the bottom on this page for details.

Section 23D and regulation 4A

Notification for Appointment of a Provisional Representative

3B

(PDF, 598KB)

Please refer to Notes at the bottom on this page for submission details.

Section 23D(5) and regulation 4B(2)

Notification of the Completion of Examination Requirements by a Provisional Representative

3D
(PDF,431KB)

Please refer to Notes at the bottom on this page for submission details.

Section 18(1)(b) Notice of Change of Principal Place of Business

4

(PDF,27KB)

Section 18 and regulation 12

Notice of Cessation of Provision of Financial Advisory Service by a licensed financial adviser (and representative of a licensed financial adviser)

5
(E-form, 59KB)

Section 23I and regulation 10

Notification to Add Activity(ies) of a Representative

7
(PDF, 428KB)

Please refer to Notes at the bottom on this page for submission details.

Section 23C(8), 23D(4), and regulation 12A

Notification for the Cessation of a Representative in any or all of the Financial Advisory Services

10
(PDF, 495KB)

Please refer to Notes at the bottom on this page for submission details.

Section 56(1) and regulation 13

Appointment of Chief Executive Officer or Director/ Change of Director's Nature of Appointment from Non-Executive to Executive

11
(E-form,99KB)

Section 45(1)

Statement of Profit and Loss

[Note: With the removal of the “marketing of collective investment scheme” as a regulated activity under the Financial Advisers Act with effect from 8 Oct 2018, Form 14 has been accordingly revised.

Please note that the revised Form 14 is to be used only in respect of submissions for financial year ending after 31 December 2018.]

 

For submission of Form 14 for financial year ended on or before 31 December 2018

 

14
(
PDF,113KB)

For submission of Form 14 for financial year ended after 31 December 2018

 

14
(
PDF,282KB)

 

Section 45(1)

Statement of Assets and Liabilities, Net Asset Value, and Insurance Broking Premium Account

15
(PDF,26KB)

Section 45(1) and regulation 37(1)

Statement of Placement of Direct Life Insurance Business Handled

16
(PDF, 116KB)

Section 48(1)

Auditor's Report

17
(PDF, 78KB)

Section 23F(5) and regulation 10

Notification to Change Particulars for a Representative

18
(PDF, 435KB)

Please refer to Notes at the bottom on this page for submission details.

Regulation 37(2)(a)

Notice of Commencement of Business by Persons Exempt from Holding a Financial Adviser's Licence under Section 23(1)(f) read with Regulation 27(1)(d)

20
(E-form,178KB)

Regulation 37(2)(b)

Notice of Change of Particulars by Persons Exempt from Holding a Financial Adviser's Licence under Section 23(1)(f) read with Regulation 27(1)(d)

21
(E-form,135KB)

Regulation 37(2)(c)

Notice of Cessation of Business by Persons Exempt from Holding a Financial Adviser's Licence under Section 23(1)(f) read with Regulation 27(1)(d)

22
(E-form, 51KB)

Regulation 37(2)(d)

Declaration by Persons Exempt from Holding a Financial Adviser's Licence under Regulation 27(1)(d)

23
(E-form,52KB)

Regulation 37(1)(e)

Audited Statement of Insurance Broking Premium Account of Exempt Financial Adviser under Regulation 37(1)

24
(PDF,136KB)

Regulation 37(1)(b)

Notice of Commencement of Business/ Additional Financial Advisory Services(s) by Persons Exempt from Holding a Financial Adviser's Licence under section 23(1)(a), (b), (c), (d), and (e) 

26
(E-form, 115KB)

Regulation 37(1)(c)

Notice of Change of Particulars by Persons Exempt from Holding a Financial Adviser's Licence under section 23(1)(a), (b), (c), (d), and (e)

27
(E-form,56KB)

Regulation 37(1)(d)

Notice of Cessation of Business by Persons Exempt from Holding a Financial Adviser's Licence under section 23(1)(a), (b), (c), (d), and (e) 

28
(E-form,54KB)

Regulation 42(1)

Acceptance of Offer of Composition Made by the Monetary Authority of Singapore

FAA Composition

(PDF,130KB)

 

Notes:

1.    Forms 2, 4, 5, 11, 21-24, 26, 27 and 28 should be lodged by email in a single password-protected zip file to your MAS officer-in-charge, together with any accompanying attachments in machine-readable format. The password should be communicated via a different medium (e.g. telephone). Form 17 should be lodged by MASNET email in a single zip file, together with any accompanying attachments in machine-readable format, to LFAFS@masnet.mas.gov.sg.

2.    Forms 3A, 3B, 3D, 7, 10 and 18 are to be submitted on-line using the Corporations and Representatives System ["CoRe"] on MASNET, unless otherwise stated in the table above. Forms 14, 15 and 16 are required to be lodged by a licensed financial adviser through MASNET. MASNET is a closed communication network system operated by the Authority which a licensed financial adviser or an exempt financial adviser under section 23(1)(a), (b), (c), (d) or (e) of the FAA needs to subscribe to for the purpose of lodging the forms specified above. For the avoidance of doubt, an exempt financial adviser under section 23(1)(a), (b), (c), (d) or (e) of the FAA may lodge Form 16 by email.

3.    There is no Form 3C under the Financial Advisers Act. Forms 6, 8, 9, 12, 13, 19 and 25 are no longer in use and have been removed.

4.    For Forms 1 and 20, new corporations should submit them to webmaster@mas.gov.sg in a single password-protected zip file together with any accompanying attachments in machine-readable format. An MAS officer will contact you for the password.
 

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Last Modified on 27/11/2018