Forms and Templates
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.
Form 3B is to be submitted on-line 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 or a financial institution exempt from holding CMS 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.
Related to this Item
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FAQsLast Revised Date: 01 June 2023
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.
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FAQsLast Revised Date: 18 July 2022
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.
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Forms and TemplatesLast Revised Date: 29 March 2022
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.
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GuidelinesLast Revised Date: 08 October 2021
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.
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FAQsPublished 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.
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NoticesLast 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)
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FAQsPublished 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
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CircularsPublished 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.
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RegulationsLast 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.
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Forms and TemplatesLast Revised Date: 08 October 2018
Form 3D - Notification of the Completion of Examination Requirements by a Provisional Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the completion of the examination requirements by a provisional representative.
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FAQsPublished 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.
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NoticesPublished Date: 26 November 2010
Notice SFA 04-N10 Entry Requirements of a Provisional or Temporary Representative
How to qualify to be or appoint provisional and temporary representatives.
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RegulationsPublished 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.