FAQs

Last Revised Date: 21 August 2023

FAQs on the Notice on Business Conduct Requirements for Corporate Finance Advisers

Provides guidance on the regulatory scope and requirements of the Notice on Business Conduct Requirements for Corporate Finance Advisers.

Applies to: Corporate Finance Advisory , Exempt Capital Markets Services Entity

View Document FAQs on the Notice on Business Conduct Requirements for Corporate Finance Advisers (774.1 KB)

21 Aug 2023: FAQs on the Notice on Business Conduct Requirements for Corporate Financial Advisers last revised on 21 Aug 2023. (774.1 KB)
21 Jun 2023: FAQs on the Notice on Business Conduct Requirements for Corporate Financial Advisers last revised on 21 Jun 2023. (660.3 KB)

Notices

Published Date: 23 February 2023

Notice SFA 04-N21 on Business Conduct Requirements for Corporate Finance Advisers

Requirements for corporate finance advisers in relation to general business conduct and due diligence work.

Representative-related Advisory and Sales Record Keeping Disclosures
Consultations

Published Date: 15 December 2021

Consultation Paper on Introduction of Due Diligence Requirements for Corporate Finance Advisers

This consultation seeks views on MAS’ proposal to introduce due diligence requirements for corporate finance advisers when they advise on corporate finance transactions, with additional requirements when advising on initial public offerings.

Conduct

Consultation number:

P020-2021

Start date:

15 December 2021

Closing date:

15 February 2022

MAS response date:

23 February 2023