Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS (for FIs conducting regulated activities under the SFA other than for fund managers and REIT managers)
This Compliance Toolkit aims to provide guidance on:
Applications to be submitted for approval to MAS; and
- Notifications and regulatory submissions to MAS.
This Compliance Toolkit serves as a guide to capital market services licensees (other than fund managers and REIT managers), exempt financial institutions (e.g. banks and finance companies) and other exempt entities (e.g. exempt corporate finance advisers) on the various approval and reporting requirements and timelines under the SFA and its subsidiary instruments.