Consultations
Consultation Paper on (1) Draft Legislation and Proposed Legislative Amendments to Effect the Policy Proposals under the Financial Advisory Industry Review; and (2) Proposed Legislative Amendments to Authorise Inspections by Foreign Regulatory Authorities under the Financial Advisers Act
Proposed legislative amendments to raise the competency of FA representatives and quality of FA firms; lower distribution cost by enhancing market efficiency; and promote a culture of fair dealing.
- Consultation Number:
- P022-2014
- Start Date:
- 02 October 2014
- Closing Date:
- 03 November 2014
- MAS Response Date:
- 11 May 2015
Responded
The consultation response was published on 11 May 2015.
Response
Additional Documents
- Annex 1 Draft Amendments to the Notice on Minimum Entry and Examination Requirements for Representatives of LFAs and Exempt Financial Advisers (276.8 KB)
- Annex 2 New Notice on Continuing Financial Requirements for LFAs (54.8 KB)
- Annex 3 First Draft Amendments to the FA Regs (135.7 KB)
- Annex 4 Draft Amendments to Form 15 under the FAA and FA Regs (73.7 KB)
- Annex 5 Draft Amendments to the Guidelines on Criteria for the Grant of a Financial Advisers Licence (85.9 KB)
- Annex 6 Second Draft Amendments to the FA Regs (145.8 KB)
- Annex 7 New Form 29 under the FAA and FA Regs (45.2 KB)
- Annex 8 New Form 30 under the FAA and FA Regs (42.2 KB)
- Annex 9 New Form 31 under the FAA and FA Regs (38.8 KB)
- Annex 10 Draft Amendments to Form 26 under the FAA and FA Regs (77 KB)
- Annex 11 Draft Amendments to Form 27 under the FAA and FA Regs (75 KB)
- Annex 12 New Notice on Requirements for Registered Insurance Brokers Exempt from Holding a Financial Advisers Licence (66.6 KB)
- Annex 14 Draft Financial Advisers Amendment Bill 2015 (80.4 KB)
- Annex 15 Draft Amendments to the Notice on Appointment and Use of Introducers by Financial Advisers (125.8 KB)
- Annex 16 Draft Insurance Amendment Bill 2015 (42.8 KB)
- Annex 17 New Financial Advisers Remuneration and Incentive Regulations (54.9 KB)
- Annex 18 New Insurance Remuneration Regulations (41.7 KB)
- Annex 19 New Notice on Requirements for the BSC Framework and Independent Sales Audit Unit (326.4 KB)
- Annex 20 New Guidelines on the BSC Framework Reference Checks and Pre Transaction Checks (214.4 KB)