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.

Form for exempt corporate finance advisers to confirm on an annual basis their compliance with all exemption conditions and restrictions. This form must be submitted within 14 days from the end of the financial year.

Form for exempt corporate finance advisers when they cease their corporate finance advisory business. This form must be submitted within 14 days after the cessation of business.

Form to be submitted by exempt corporate finance advisers to notify MAS of any change of their particulars within 14 days after the date of change.

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