Proposed revisions to requirements for the submission of misconduct reports and proposals to mandate FIs to conduct and respond to reference checks on representatives.

Consultation number:

P012 - 2018

Start date:

06 July 2018

Closing date:

06 August 2018

MAS response date:

14 May 2021

Requirements and template for reporting the misconduct of broking staff.

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

Requirements for financial advisers to lodge a report to the Monetary Authority of Singapore (MAS), upon discovery of misconduct committed by their representatives.