The PDF form should be used only by corporations which are applying for:
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.
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.
How to qualify to be a REIT manager and what ongoing governance and compliance arrangements are expected.
How to qualify to be and conduct your business as a fund manager.
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.
Guidelines on procedures to apply for a Capital Markets Services or Financial Advisory licence, appoint representatives and pay fees.
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.
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.
Form for capital markets services licensees to apply for additional type(s) of regulated activity/activities.
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.
How to qualify to be a representative, or appoint a representative, to conduct regulated activities under the Securities and Futures Act (SFA)
Provides guidance to financial institutions on the submission of representative notifications using the bulk filing function of the CoRe system
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.
Form for licensed financial advisers and exempt financial advisers to notify MAS of the appointment of provisional representatives.
Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
Provides guidance to financial institutions on the submission of representative notifications though the CoRe system.
How to qualify to be a CMS licensee (other than a fund manager or REIT manager).
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.
