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.
Last Revised Date: 06 May 2021
Forms and Templates
Form 22 - Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the Regulations
Form for entities to notify MAS of their commencement of business as exempt corporate finance advisers. This form must be submitted within 14 days after the commencement of business.