Consultations
 Published Date: 24 June 2004

Draft Information Paper on Good Practices for Licensed Financial Advisers and Exempt Financial Advisers

Proposed good practices of financial advisers in the areas of advisory and sales process, recruitment, training and competency of representatives, complaints handling and compliance function.
Consultation Number:
P007 - 2004
Start Date:
24 June 2004
Closing Date:
24 July 2004
MAS Response Date:
17 November 2004
Response date: 17 Nov 2004
Responded
The consultation response was published on 17 November 2004.

Response

VIEW DOCUMENT

Consultation Paper

VIEW DOCUMENT Draft Information Paper on Good Practices for Licensed Financial Advisers and Exempt Financial Advisers (2.1 MB)