Forms and Templates
 Last Revised Date: 06 October 2020

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 (94.2 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.