Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.

Covered three proposals: (i) Regulatory framework for capital markets services licensees, banks, merchant banks and finance companies dealing in OTC derivative contracts under the SFA, including capital, business conduct and other requirements; (ii) exemption for execution-related advice on listed excluded investment products under the FAA; and (iii) transferring the regulation of marketing of CIS from the FAA to SFA.

Consultation number:

P009-2015

Start date:

03 June 2015

Closing date:

03 July 2015

MAS response date:

29 December 2015

Consultation on Proposed Amendments to the SFA.

Consultation number:

P004 - 2015

Start date:

11 February 2015

Closing date:

24 March 2015

MAS response date:

24 August 2015

Governs the regulation of financial advisers in Singapore, including their representatives and supervisors.