Guidelines

1 Oct 2002

Guidelines on Criteria for the Grant of a Financial Adviser's Licence and Representative's Licence [Guideline No. FAA-G01] (PDF, 128KB) - Last updated on 1 Jul 2005
 

Guidelines on Fit and Proper Criteria [Guideline No. FAA-G02] (PDF, 35.5KB) - Cancelled on 1 Jul 2005 and replaced by Guidelines on Fit and Proper Criteria [Guideline No. MCG-G01]
 

Guidelines on Licence Applications and Payment of Fees [Guideline No. FAA-G03] (PDF, 168KB) - Last updated on 8 May 2008
 

Guidelines on Standards of Conduct for Financial Advisers [Guideline No FAA-G04] (PDF, 128KB) - Last updated on 1 Jul 2005
 

Guidelines on the Use of the Term "Independent" by Financial Advisers [Guideline No. FAA-G05] (PDF, 29.6KB) - Last updated on 1 Jul 2005
 

Guidelines on Applications for Approval of Arrangements under Paragraph 11 of the First Schedule of the Financial Act [Guideline No. FAA-G06] (PDF, 142KB) - Last updated on 1 Jul 2005
 

Guidelines for Exemption for Specialised Units serving High Net Worth Individuals under Section 100(2) of the Financial Advisers Act [Guideline No. FAA-G07] (PDF, 123KB) - Last updated on 1 Jul 2005
 

18 Feb 2004

Guidelines for Conduct of Business for Execution-Related Advice [Guideline No. FAA-G08] (PDF, 120KB) - Last updated on 1 Jul 2005
 

7 Oct 2004

Guidelines on Structured Deposits [Guideline No. FAA-G09] (PDF, 54.0KB) - Last updated on 4 May 2006
 

26 Oct 2004

Guidelines on Switching of Designated Investment Products [Guideline No. FAA-G10] (PDF, 114KB) - Last updated on 1 Jul 2005
 

Guidelines on Fit and Proper Criteria [Guideline No. MCG-G01]  (PDF, 44.6KB) - Cancelled on 7 Sep 2007 and replaced by Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01] issued on 7 Sep 2007
 

Guidelines to MAS Notice FAA-N06 on Prevention of Money Laundering and Countering the Financing of Terrorism   (PDF, 75.7KB)
 

Guidelines on Fit and Proper Criteria [Guideline No. FSG-G01] (PDF, 138KB)