FAQs
FAQs on Mutual Recognition of MAS and Thai SEC Product Knowledge Examinations
Provides guidance on the mutual recognition of MAS and Thai SEC's product knowledge examinations in securities and collective investment schemes.
Related to this Item
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NoticesLast Revised Date: 08 April 2020
Notice FAA-N13 Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers
Eligibility requirements for representatives of financial advisers, including CMFAS examination and continuing education requirements.
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NoticesLast Revised Date: 08 April 2020
Notice SFA 04-N09 Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services licence and Exempt Financial Institutions under the SFA
How to qualify to be a representative, or appoint a representative, to conduct regulated activities under the Securities and Futures Act (SFA)
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FAQsPublished Date: 08 April 2020
FAQs on Minimum Entry and Examination Requirements for Representatives of Capital Markets Services Licence Holders and Exempt Financial Institutions
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.
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ConsultationsPublished Date: 12 December 2016
Consultation Paper on Review of Competency Requirements for Representatives Conducting Regulated Activities under the Securities and Futures Act and Financial Advisers Act
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