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 under section 8(1) |
1
(PDF,68.0KB)
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| Section 16(1) |
Application for variation of a financial adviser's licence under section 16(1) |
2
(PDF,48.0KB)
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| Section 8(1) |
Application for renewal of a financial adviser's licence under section 8(1) |
3
(PDF, 111KB)
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Section 18(1) and regulations 22(1)(a), (b) or (ba)
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Notice of change of principal place of business under section 18(1) or of change of place at which register of interests in securities is kept under regulations 22(1)(a), (b) or (ba)
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4
(PDF,89.6KB)
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Sections 18(1) and (2), and regulation 39(4)
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Notice of cessation of provision of financial advisory service by a licensed financial adviser and representative under sections 18(1) and (2) / Notice of cessation of keeping a register of interests in securities under section 39(4)
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5
(PDF,89.7KB)
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Section 8(1)
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Application for a representative's licence under section 8(1)
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6
(PDF, 117KB)
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Section 16(1)
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Application for variation of a representative's licence under section 16(1)
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7
(PDF, 111KB)
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Section 8(1)
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Application for renewal of a representative's licence under section 8(1) |
8
(PDF, 111KB)
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| Section 18(2) and regulation 22(1)(bb) |
Notice of change of a representative's principal under section 18(2) or of change of place at which register of interests in securities is kept under regulation 22(1)(bb)
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9
(PDF,88.8KB)
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| Sections 18(2) and 39(4) |
Notice of cessation of provision of financial advisory service by licensed representative under section 18(2) / Notice of cessation of keeping a register of interests in securities under section 39(4)
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10
(PDF,89.1KB)
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Section 56
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Appointment of chief executive officer or director under section 56 |
11
(PDF, 121KB)
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| Section 38(1) |
Register of interests in securities under section 38(1) |
12
(PDF,68.2KB)
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| Section 39(1) |
Notice of place at which register of interests in securities will be kept under section 39(1) |
13
(PDF,82.4KB)
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| Section 45(1) |
Statement of profit and loss under section 45(1) |
14
(PDF,113KB)
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| Section 45(1) |
Statement of assets and liabilities, net asset value, and insurance broking premium account under section 45(1) |
15
(PDF, 144KB)
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| Section 45(1) and regulation 37(1) |
Statement of placement of direct life insurance business handled under section 45(1) and regulation 37(1) |
16
(PDF, 116KB)
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| Section 48(1) |
Auditor's report under section 48(1) |
17
(PDF,77.9KB)
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| Regulation 10 |
Notice of change of particulars of licensed representative under regulation 10
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18
(PDF,90.5KB)
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| Regulations 37(1) and (2) |
Notice of commencement of business of persons exempt from holding a financial adviser's licence under regulations 37(1) and (2)
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20
(PDF,52KB)
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| Regulations 37(1) and (2) |
Notice of change of particulars of persons exempt from holding a financial adviser's licence under regulations 37(1) and (2) |
21
(PDF, 52KB)
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Regulations 37(1) and (2)
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Notice of cessation of business of persons exempt from holding a financial adviser's licence under regulations 37(1) and (2) |
22
(PDF,69.4KB)
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Regulation 37(2)(d)
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Declaration under regulation 37(2)(d) by persons exempt from holding a financial adviser's licence under regulation 27(1)(d) |
23
(PDF,88.6KB)
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Regulation 37(1)
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Audited statement of insurance broking premium account of exempt financial adviser under regulation 37(1) |
24
(PDF, 135KB)
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Regulation 22(1)(c)
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Notice of change of place at which register of interests in securities is kept by financial journalist under regulation 22(1)(c) |
25
(PDF,82.2KB)
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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 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 financial adviser needs to subscribe to for the purpose of lodging the forms specified above. For the avoidance of doubt, an exempt financial adviser 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. Lodgment of Forms by personal delivery or pre-paid post is also allowed during the period of 6 months from the date of commencement of the Financial Advisers (Amendment) Regulations 2005. 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.
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