FAQs
FAQs on Licensing 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
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FAQsLast Revised Date: 31 July 2026
FAQs on Licensing Exemption Framework for Single Family Offices
Provides guidance on the licensing exemption framework for Single Family Offices.
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FAQsLast Revised Date: 11 December 2025
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.
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Forms and TemplatesLast Revised Date: 28 November 2025
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.
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GuidelinesLast Revised Date: 03 September 2025
Guidelines on Licensing and Conduct of Business for Fund Management Companies [SFA 04-G05]
How to qualify to be and conduct your business as a fund manager.
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Forms and TemplatesLast Revised Date: 30 May 2025
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.
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Forms and TemplatesLast Revised Date: 30 May 2025
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.
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FAQsLast Revised Date: 08 May 2025
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.
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Forms and TemplatesLast Revised Date: 04 March 2025
Change in Particulars for Fund Management Companies
Form for fund management companies, including venture capital fund managers, to notify MAS of changes to their particulars and particulars of their directors, relevant professionals or shareholders. This form must be submitted within 14 days after the date of the change. You may refer to the following PDF specimen form to prepare your submission. This specimen form should not be submitted to MAS. All official submissions must be made online via MAS-Tx.
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Forms and TemplatesLast Revised Date: 24 January 2025
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.
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ConsultationsLast Revised Date: 25 April 2024
Consultation Paper on Repeal of Regulatory Regime for Registered Fund Management Companies
This consultation paper seeks feedback on the proposed transitional arrangements for existing Registered Fund Management Companies (“RFMCs”) that intend to continue operating fund management businesses following the repeal of the regulatory regime for RFMCs.
- Consultation number:
- P015 - 2023
- Start date:
- 24 October 2023
- Closing date:
- 31 December 2023
- MAS response date:
- 28 March 2024
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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.
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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.
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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.
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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
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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.