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.
Forms and Templates
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 director's role from non-executive to executive. View the user guide (1.34 MB).
To access this form, you will require Adobe Acrobat Reader version 9.4.4 or above. If you have issues opening the form, please download the form to your computer and open it in Acrobat reader. Upon completion, please submit the form online.
To access this form, you will require Adobe Acrobat Reader version 9.4.4 or above. If you have issues opening the form, please download the form to your computer and open it in Acrobat reader. Upon completion, please submit the form online.
Applies to:
Licensed Fund Management Company
Related to this Item
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GuidelinesLast Revised Date: 16 November 2022
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.
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Forms and TemplatesLast Revised Date: 29 March 2022
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.
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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.