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.
Forms and Templates
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.
Form 3D 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, 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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NoticesLast Revised Date: 08 April 2020
Notice FAA-N13 Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers
Eligibility requirements for representatives of financial advisers, including CMFAS examination and continuing education requirements.
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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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Forms and TemplatesLast 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.
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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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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.