Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [SFA 04-G05]
How to qualify to be and conduct your business as a fund manager.
How to qualify to be and conduct your business as a fund manager.
How to qualify to be a CMS licensee (other than a fund manager or REIT manager).
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of representatives.
Guidelines on procedures to apply for a Capital Markets Services or Financial Advisory licence, appoint representatives and pay fees.
Guidelines on fit and proper criteria for all relevant persons carrying out any activity regulated by MAS.
Proposed revisions to requirements for the submission of misconduct reports and proposals to mandate FIs to conduct and respond to reference checks on representatives.
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)
Provides guidance on the minimum academic and examination requirements as well as continuing education requirements for representatives of capital markets services licensees, banks, merchant banks, finance companies and insurers.
Form for capital markets services (CMS) licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of temporary representatives who reside outside Singapore but plan to conduct activities in Singapore for a limited period of time.
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the completion of the examination requirements by a provisional representative.
Form for licensed financial advisers and exempt financial advisers to notify MAS of the appointment of provisional representatives.
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.
How financial institutions should handle and report misconduct of their representatives to MAS.
How to qualify to be or appoint provisional and temporary representatives.