This consultation seeks views on the revised notices on misconduct reporting requirements.

Consultation number:

P002-2022

Start date:

19 April 2022

Closing date:

20 May 2022

Status:

Open

This consultation seeks views on MAS’ proposal to require financial institutions to conduct reference checks and respond to reference check requests on employees, based on a set of minimum mandatory information within a specified period of time.

Consultation number:

P006-2021

Start date:

14 May 2021

Closing date:

25 June 2021

Status:

Closed

This circular applies to capital markets services licensees, banks, merchant banks, finance companies, insurers and financial advisers. ​ It sets out the requirements on due diligence checks and documentation relevant to the fit and proper certification of their representatives.

Requirements and template for reporting the misconduct of broking staff.

How financial institutions should handle and report misconduct of their representatives to MAS.