Provides guidance to financial advisers about the FAA regime and covers topics including licensing requirements, exemptions, representative notification framework, business conduct and reporting requirements.

Provides guidance on the regulatory scope of the Trust Companies Act, including licensing and reporting requirements for licensed trust companies, exempt trust companies and exempt persons providing trust services.

Regulations setting out licensing requirements and obligations of Trade Repositories

Regulations setting out licensing requirements and obligations of regulated clearing houses

Proposed regulatory treatment of closed-end funds and amendments to the collective investment scheme regulations to (a) enhance disclosure requirements in a prospectus and (b) to require an information memorandum to be furnished to investors for offers of restricted schemes

Consultation number:

P026 - 2012

Start date:

26 December 2012

Closing date:

24 January 2013

MAS response date:

01 April 2013