Published Date: 16 June 2009

Policy Consultation on Amendments to the Securities and Futures (Licensing and Conduct of Business) Regulations and the Financial Advisers Regulations

Proposed revisions to both sets of regulations, in respect of registers of interests in securities, definition of customer assets, exemptions for dealing activities and maximum penalty under the general penalty provision. The paper also clarifies the types of forms to be maintained under these regulations.
Consultation Number:
P007 - 2009
Start Date:
16 June 2009
Closing Date:
15 July 2009
MAS Response Date:
19 October 2010
Response date: 19 Oct 2010
The consultation response was published on 19 October 2010.