FAQs
FAQs on the Licensing and Registration of Fund Management Companies
Provides guidance on the requirements and procedures to apply to be a fund management company, and to appoint representatives to carry out fund management activities.
Amendment Notes
Related to this Item
-
FAQsLast Revised Date: 13 September 2023
FAQs on Licensing and Business Conduct (Other than for Fund Management Companies)
Provides guidance on • the scope of capital markets services licensing (other than for fund management companies) • appointment of representatives • business conduct rules • the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.
-
Forms and TemplatesLast Revised Date: 18 August 2023
Form 1V - Application for a Capital Markets Services Licence for Venture Capital Fund Manager
Form for entities to apply to be a licensed venture capital fund manager (VCFM). Entities that intend to commence business as registered fund management companies or licensed fund management companies (other than as VCFMs) should submit Form 22A or Form 1A respectively.
-
Forms and TemplatesLast Revised Date: 18 August 2023
Form 3A - Notification for Appointment of an Appointed Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of representatives.
-
Forms and TemplatesLast Revised Date: 18 August 2023
Form 1A - Application for a Capital Markets Services Licence for Fund Management Company
Form for entities to apply to be a licensed fund management company. Entities that intend to commence business as registered fund management companies or venture capital fund managers should submit Form 22A or Form 1V respectively.
-
Forms and TemplatesLast Revised Date: 18 August 2023
Form 22A - Notice of Commencement of Business as a Registered Fund Management Company
Form for entities to apply to be a registered fund management company. Entities that intend to apply for a capital markets services licence to conduct fund management (including as a venture capital fund manager) should submit Form 1A or 1V instead.
-
Forms and TemplatesLast Revised Date: 18 August 2023
Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive (For Licensed Fund Management Companies)
Form for licensed fund management companies to apply for the appointment of a Chief Executive Officer or director; or to change a directors role from non-executive to executive.
-
Forms and TemplatesLast Revised Date: 18 August 2023
Form 23A - Notice of Change of Particulars for a Registered Fund Management Company or a Venture Capital Fund Manager
Form for registered fund management companies and venture capital fund managers to notify MAS of changes to their particulars and particulars of their directors, representatives, relevant professionals or shareholders. This form must be submitted within 14 days after the date of the change.
-
GuidelinesLast Revised Date: 06 April 2023
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.
-
FAQsLast Revised Date: 23 March 2023
FAQs on Exempt Persons
Provides guidance on regulatory requirements that an exempt financial adviser serving up to not more than 30 accredited investors or an exempt corporate finance adviser is expected to comply with, including criteria for exemption, form for lodgement as an exempt person and ongoing regulatory requirements.
-
GuidelinesLast Revised Date: 08 October 2021
Guidelines on Licence Applications, Representative Notification and Payment of Fees [CMG-G01]
Guidelines on procedures to apply for a Capital Markets Services or Financial Advisory licence, appoint representatives and pay fees.
-
Forms and TemplatesLast Revised Date: 12 May 2021
Form 5 - Application for Additional Regulated Activity under a Capital Markets Services Licence
Form for capital markets services licensees to apply for additional type(s) of regulated activity/activities.
-
Forms and TemplatesLast Revised Date: 06 May 2021
Form 11 - Appointment of Chief Executive Officer or Director / Change of Director's Nature of Appointment from Non-Executive to Executive
Form for capital markets services licensees, other than licensed fund management companies, to apply for the appointment of a Chief Executive Officer or director; or the change in nature of director appointment from non-executive to executive.
-
Forms and TemplatesPublished Date: 08 October 2018
Form 6 - Notification to Add Activity/Activities of a Representative
Form for capital markets services (CMS) licensees, banks, merchant banks, finance companies and insurers to notify MAS before an appointed representative adds other type(s) of regulated activity or activities.
-
Forms and TemplatesLast Revised Date: 08 October 2018
Form 3B - Notification for Appointment of a Provisional Representative
Form for licensed financial advisers and exempt financial advisers to notify MAS of the appointment of provisional representatives.
-
RegulationsLast Revised Date: 08 October 2018
Securities and Futures (Licensing And Conduct Of Business) Regulations
Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
-
ConsultationsPublished Date: 15 February 2017
Consultation Paper on Proposed Regulatory Regime for Managers of Venture Capital Funds
Proposed simplified authorisation process and regulatory framework for venture capital managers.
- Consultation number:
- P004 - 2017
- Start date:
- 15 February 2017
- Closing date:
- 15 March 2017
- MAS response date:
- 20 October 2017
-
NoticesPublished Date: 26 November 2010
Notice SFA 04-N10 Entry Requirements of a Provisional or Temporary Representative
How to qualify to be or appoint provisional and temporary representatives.