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)
To consult on the draft notices on the competency requirements for representatives conducting regulated activities under the Financial Advisers Act and Securities and Futures Act.
- Consultation number:
- Start date:
- 04 September 2020
- Closing date:
- 05 October 2020
- MAS response date:
- 28 September 2023
Provides guidance to financial advisers about the FAA regime and covers topics including licensing requirements, exemptions, representative notification framework, business conduct and reporting requirements.
This Compliance Toolkit is to guide and facilitate insurance brokers’ compliance with the various MAS approval and reporting requirements and timelines.