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.

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

View Document Form 3B - Notification for Appointment of a Provisional Representative (597.9 KB)

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.

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
Forms and Templates

Last Revised Date: 08 April 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.

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

Last 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.

Licensing, Authorisation and Registration Representative-related Notifications
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
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
Notices

Published 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.

Representative-related 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