Eligibility requirements for representatives of financial advisers, including CMFAS examination and continuing education requirements.

How to qualify to be a representative, or appoint a representative, to conduct regulated activities under the Securities and Futures Act (SFA)

Eligibility and ongoing requirements for representatives of Holders of Capital Markets Services Licence and Exempt Financial Institutions, including entry, CMFAS examination and continuing professional development requirements.

Eligibility and ongoing requirements for representatives of financial advisers, including entry, CMFAS examination and continuing professional development requirements.

Proposed enhancements to the examination framework for appointed representatives under the SFA and FAA, e.g. minimum academic qualifications under the Capital Markets and Financial Advisory Services Examination (CMFAS) and Continuing Professional Development (CPD) requirements.

Consultation number:

P015 - 2016

Start date:

12 December 2016

Closing date:

13 January 2017

MAS response date:

25 September 2017