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.

Applies to: Dealing in Capital Markets Products , Licensed Fund Management Company , Corporate Finance Advisory , REIT Management , Credit Rating Agency , Securities Crowdfunding , Exempt Capital Markets Services Entity , Licensed Financial Adviser , Exempt Financial Adviser

View Document Form 3A - Notification for Appointment of an Appointed Representative (95 KB)

The PDF form should be used only by corporations which are applying for:

A capital markets services licence (other than for fund management) for the notification of appointment of representatives and it should be submitted by email.
A capital markets services licence for fund management for the notification of appointment of representatives and it should be submitted using Corporate e-Lodgment.
A financial advisers' licence for the notification of appointment of representatives and it should be submitted via email.

The online format of this form should be used by a capital markets services licensee, an exempt capital markets services entity, a licensed financial adviser and an exempt financial adviser for the notification of appointment of representatives and it should be submitted online using the Corporations and Representatives System (CoRe) on MASNET .

MASNET is a closed communication network system operated by the Authority which a capital markets services licensee, a financial institution exempt from holding capital markets services licence under section 99(1)(a), (b), (c) or (d) of the SFA, a licensed financial adviser or an exempt financial adviser under section 23(1)(a), (b), (c), (d) or (e) of the FAA needs to subscribe to for the purpose of lodging the form.

Notices

Last Revised Date: 08 April 2020

Notice SFA 04-N09 Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services licence and Exempt Financial Institutions under the SFA

How to qualify to be a representative, or appoint a representative, to conduct regulated activities under the Securities and Futures Act (SFA)

Representative-related Licensing, Authorisation and Registration
FAQs

Published Date: 08 April 2020

FAQs on Minimum Entry and Examination Requirements for Representatives of Capital Markets Services Licence Holders and Exempt Financial Institutions

Provides guidance on the minimum academic and examination requirements as well as continuing education requirements for representatives of capital markets services licensees, banks, merchant banks, finance companies and insurers.

Representative-related Licensing, Authorisation and Registration Fit and Proper Criteria
FAQs

Last Revised Date: 06 April 2020

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.

Licensing, Authorisation and Registration
FAQs

Last Revised Date: 27 February 2020

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.

Licensing, Authorisation and Registration Customer Monies and Assets Segregation
Guidelines

Last Revised Date: 25 October 2019

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.

Fit and Proper Criteria Key Appointments Capital and Financial Resources Security Deposit and PII Disclosures Investment Management Licensing, Authorisation and Registration
FAQs

Published Date: 04 October 2019

User Guide for Bulk Filing Function in CoRe System for Submission of Representative Notifications

Provides guidance to financial institutions on the submission of representative notifications using the bulk filing function of the CoRe system

Licensing, Authorisation and Registration Representative-related Notifications
Forms and Templates

Last Revised Date: 28 August 2019

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.

Licensing, Authorisation and Registration
Forms and Templates

Last Revised Date: 07 June 2019

Form 1 - Application for a Capital Markets Services Licence (Other than for a Fund Management Company)

Form for entities (other than fund management companies to apply for a capital markets services licence to conduct regulated activities under the Securities and Futures Act. Fund management companies should submit Form 1A, 1V or 22A, depending on the type and scope of their fund management activities.

Licensing, Authorisation and Registration
Forms and Templates

Published Date: 08 October 2018

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.

Representative-related
Circulars

Published Date: 08 October 2018

CMI 01/2011 Due Diligence Checks and Documentation in Respect of the Appointment of Appointed, Provisional, and Temporary Representatives

This circular applies to capital markets services licensees, banks, merchant banks, finance companies, insurers and financial advisers. It sets out the requirements on due diligence checks and documentation relevant to the fit and proper certification of their representatives.

Fit and Proper Criteria Representative-related Licensing, Authorisation and Registration Declarations
Guidelines

Published Date: 08 October 2018

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.

Representative-related Licensing, Authorisation and Registration
Regulations

Last 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.

Licensing, Authorisation and Registration Representative-related Disclosures Record Keeping Customer Monies and Assets Segregation Advisory and Sales Key Appointments Corporate Governance Fit and Proper Criteria Appointment of Auditors Notifications Declarations Financial Returns Security Deposit and PII Exemptions
Forms and Templates

Last Revised Date: 08 October 2018

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.

Licensing, Authorisation and Registration Representative-related Notifications
FAQs

Published Date: 30 August 2018

System Training Video for Financial Institutions on the Use of the Corporations and Representatives System (CoRe) for the Submission of Representative Notifications to MAS

Provides guidance to financial institutions on the submission of representative notifications though the CoRe system.

Licensing, Authorisation and Registration Representative-related Notifications
Guidelines

Published Date: 08 October 2016

Guidelines on Criteria for the Grant of a Capital Markets Services Licence Other Than for Fund Management and Real Estate Investment Trust Management [SFA 04-G01]

How to qualify to be a CMS licensee (other than a fund manager or REIT manager).

Fit and Proper Criteria Key Appointments Capital and Financial Resources Security Deposit and PII Licensing, Authorisation and Registration
Guidelines

Published Date: 01 January 2016

Guidelines to All Holders of a Capital Markets Services Licence for Real Estate Investment Trust Management [SFA 04-G07]

How to qualify to be a REIT manager and what ongoing governance and compliance arrangements are expected.

Corporate Governance Fit and Proper Criteria Key Appointments Capital and Financial Resources Disclosures Remuneration Licensing, Authorisation and Registration
Regulations

Published Date: 23 May 2002

Securities and Futures (Opportunity to be Heard) Regulations

Provides for a person to be given an opportunity to be heard by MAS and to be given at least 10 days to submit any written supporting documents as to why MAS should reconsider the decision it intends to make.

Licensing, Authorisation and Registration Representative-related Key Appointments Offers of Securities or Securities-Based Derivatives Contracts Offers of Collective Investment Schemes