Forms
All forms should be submitted to:
Capital Markets Intermediaries Department
Monetary Authority of Singapore
10 Shenton Way
MAS Building
Singapore 079117
Provisions of the Financial Advisers Act (Cap 110) and the Financial Advisers Regulations (Rg 2)
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Description of forms
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Form Number
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Section 8(1)
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Application for a Financial Adviser's Licence |
1
(PDF,203KB)
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| Section 16(1) read with regulation 9 |
Application for Variation of a Financial Adviser's Licence |
2
(PDF,84KB)
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| Section 23C and regulation 4A |
Notification for Appointment of an Appointed Representative |
On-line Format
Please refer to the bottom of this page for the link to MASNET.
3A - Hardcopy Format
(PDF, 103KB)
[Note: The form in "Hardcopy Format" should only be used for notification for appointment of representatives for corporations which are applying for a Financial Advisers' Licence and it should be submitted by hand or by post.]
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Section 23D and regulation 4A
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Notification for Appointment of a Provisional Representative
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On-line Format
Please refer to the bottom of this page for the link to MASNET.
3B - Hardcopy Format
(PDF, 116KB)
[Note: The form in "Hardcopy Format" should only be used for notification for appointment of representatives for corporations which are applying for a Financial Advisers' Licence and it should be submitted by hand or by post.]
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Section 23D(5) and regulation 4B(2)
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Notification of the Completion of Examination Requirements by a Provisional Representative
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3D
(PDF,86KB)
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Section 18(1)(b) and section 104(2)(m) read with regulation 20B(5)
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Notice of Change of Principal Place of Business / or Change of Place at which Register of Interests in Securities is Kept
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4
(PDF, 83KB)
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Section 18 and regulation 12
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Notice of Cessation of Provision of Financial Advisory Service by a licensed financial adviser (and representative of a licensed financial adviser)
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5
(PDF, 109KB)
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Section 23I and regulation 10
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Notification to Add Activity(ies) of a Representative |
On-line Format
Please refer to the bottom of this page for the link to MASNET.
7 - Hardcopy Format
(PDF, 75KB)
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| Section 23C(8), 23D(4), and regulation 12A |
Notification for the Cessation of a Representative in any or all of the Financial Advisory Services
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On-line Format
Please refer to the bottom of this page for the link to MASNET.
10 - Hardcopy Format
(PDF, 70KB)
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| 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 (last updated 2 September 2011)
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11
(PDF,159KB)
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Section 104(2)(m), regulation 20A
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Register of Interests in Securities |
12
(PDF, 12KB)
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| Section 104(2)(m), regulation 20B(5) |
Notice of Place at which Register of Interests in Securities will be Kept |
13
(PDF,84KB)
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| Section 45(1) |
Statement of Profit and Loss |
14
(PDF,113KB)
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| Section 45(1) |
Statement of Assets and Liabilities, Net Asset Value, and Insurance Broking Premium Account |
15
(PDF,26KB)
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| Section 45(1) and regulation 37(1) |
Statement of Placement of Direct Life Insurance Business Handled |
16
(PDF, 116KB)
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| Section 48(1) |
Auditor's Report |
17
(PDF, 78KB)
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| Section 23F(5) and regulation 10 |
Notification to Change Particulars for a Representative |
On-line Format
Please refer to the bottom of this page for the link to MASNET.
18 - Hardcopy Format
(PDF, 116KB)
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| 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)
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20
(PDF,48KB)
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| 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)
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21
(PDF,49KB)
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Regulation 37(2)(c)
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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
(PDF, 16KB)
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Regulation 37(2)(d)
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Declaration by Persons Exempt from Holding a Financial Adviser's Licence under Regulation 27(1)(d) |
23
(PDF,20KB)
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Regulation 37(1)(e)
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Audited Statement of Insurance Broking Premium Account of Exempt Financial Adviser under Regulation 37(1) |
24
(PDF,136KB)
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Regulation 37(1)(b)
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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
(PDF, 26KB)
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| 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
(PDF,20KB)
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Regulation 37(1)(d)
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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
(PDF,21KB)
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Notes:
1. Subject to paragraph 2 of these Notes, the above Forms may be lodged by personal delivery or by pre-paid post.
2. Forms 3A, 3B, 3D, 7, 10 and 18 are to be submitted on-line using the Representative Notification System on MASNET using the link appended below, 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 personal delivery or pre-paid post.
3. Forms that have to be lodged by a licensed financial adviser with the Authority through the MASNET system do not have to be signed by its Director or Chief Executive Officer. However, in some exceptional cases, the Authority may allow or require the lodgment of Forms by other means, such as by personal delivery or pre-paid post, for example in cases where submission via electronic means is not possible. In the case where the Forms are lodged by personal delivery or pre-paid post, the following declaration shall also be included at the end of the Forms and signed by the Director or Chief Executive Officer:
"I certify that the above statement has, to the best of my knowledge and belief, been drawn up to comply with the requirements of the Financial Advisers Act (Cap. 110) and the requirements as may be prescribed or specified by the Authority, and the information contained in the above statement is to the best of my knowledge and belief true and correct.
Signature: _______________________
_______________________
(Name of Director/Chief Executive Officer*)
Date: (dd/mm/yy) "
* Where there is an asterisk (*), please delete whichever is inapplicable.
4. There is no Form 3C under the Financial Advisers Act. Forms 6, 8, 9, 19 and 25 are no longer in use and have been removed.
[Link to MASNET]
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