Circulars
Circular on Misconduct Report and Investigation Report Templates
This circular informs licensed financial advisers, exempt financial advisers, holders of Capital Markets Services licence, exempt Capital Markets Services entities, registered insurance brokers, exempt insurance brokers and licensed direct insurers of the publication of the misconduct report and investigation report templates.
Applies to:
Licensed Financial Adviser
,
Exempt Financial Adviser
,
Dealing in Capital Markets Products
,
Product Financing
,
Providing Custodial Services
,
Licensed Fund Management Company
,
Corporate Finance Advisory
,
REIT Management
,
Credit Rating Agency
,
Securities Crowdfunding
,
Venture Capital Fund Management Company
,
Exempt Capital Markets Services Entity
,
Registered Insurance Broker
,
Exempt Insurance Broker
,
Direct Insurer (Life)
,
Direct Insurer (Composite)
Related to this Item
-
FAQsPublished Date: 24 August 2026
FAQs on the Misconduct Reporting Requirements under the Financial Advisers Act, Insurance Act and Securities and Futures Act (Effective 1 January 2027)
Provides guidance on misconduct reporting requirements of financial institutions.
-
NoticesPublished Date: 30 December 2025
Notice SFA 04-N24 Reporting of Misconduct of Representatives by Holders of Capital Markets Services Licence and Exempt Persons [To be effected on 1 January 2027]
Requirements for financial institutions to report misconduct of representatives
-
NoticesPublished Date: 30 December 2025
Notice FAA-N27 Reporting of Misconduct of Representatives by Financial Advisers [To be effected on 1 January 2027]
Requirements for financial advisers to report misconduct of representatives
-
NoticesPublished Date: 30 December 2025
Notice 508 Reporting of Misconduct of Broking Staff by Insurance Brokers and of Representatives by Accident and Health Insurance Intermediaries [To be effected on 1 January 2027]
Requirements for financial institutions to report misconduct of broking staff and representatives
-
ConsultationsPublished Date: 19 April 2022
Consultation on Revised Notices on Misconduct Reporting Requirements under the Financial Advisers Act, Insurance Act and Securities and Futures Act
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
- MAS response date:
- 30 December 2025
-
ConsultationsLast Revised Date: 14 May 2021
Consultation Paper on Revisions to Misconduct Reporting Requirements and Proposals to Mandate Reference Checks for Representatives
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