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: 11 October 2021
Forms and Templates
Form 23 - Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance
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.
Form 23 should be lodged by email in a single password-protected zip file to your MAS officer-in-charge, together with any accompanying attachments in machine-readable format. The password should be communicated via a different medium (e.g. telephone).