Guidelines

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Date Number Title
30 Mar 2017 FAA-G08 Guidelines for Conduct of Business for Execution-Related Advice [Guideline No. FAA-G08]Guidelines
26 Nov 2010 FAA-G07 Guidelines for Exemption for Specialised Units serving High Net Worth Individuals under Section 100(2) of the Financial Advisers Act [Guideline No. FAA-G07]Guidelines
06 Sep 2011 - Guidelines for Financial Institutions to Safeguard the Integrity of Singapore's Financial SystemGuidelines
18 Oct 2013 FAA-G13 Guidelines on Addressing Conflicts of Interest arising from Issuing or Promulgating Research Analyses or Research Reports [FAA-G13]Guidelines
26 Nov 2010 FAA-G06 Guidelines on Applications for Approval of Arrangements under Paragraph 11 of the First Schedule of the Financial Act [Guideline No. FAA-G06]Guidelines
26 Nov 2010 FAA-G01 Guidelines on Criteria for the Grant of a Financial Adviser's Licence [Guideline No. FAA-G01]Guidelines
20 Feb 2013 FAA-G11 Guidelines on Fair Dealing - Board and Senior Management Responsibilities for Delivering Fair Dealing Outcomes to CustomersGuidelines
03 Sep 2015 FSG-G01 Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01]Guidelines
01 Nov 2016 CMG-G01 Guidelines on Licence Applications Representative Notification and Payment of Fees [Guideline No. CMG-G01]Guidelines
26 Nov 2010 FAA-G04 Guidelines on Standards of Conduct for Financial Advisers and Representatives [Guideline No FAA-G04]Guidelines
23 Dec 2016 Guidelines on Standards of Conduct for Marketing and Distribution Activities [Guideline No. FSG-G02]Guidelines
26 Nov 2010 FAA-G09 Guidelines on Structured Deposits [Guideline No. FAA-G09]Guidelines
26 Nov 2010 FAA-G10 Guidelines on Switching of Designated Investment Products [Guideline No. FAA-G10]Guidelines
31 Mar 2017 FAA-G15 Guidelines on the Online Distribution of Life Policies With No Advice [Guideline No. FAA-G15]Guidelines
31 Dec 2015 FAA-G14 Guidelines on the Remuneration Framework for Representatives and Supervisors ("Balanced Scorecard Framework"), Reference Checks and Pre-Transaction Checks [Guideline No. FAA-G14]Guidelines

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Last Modified on 26/11/2016