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.
Guidance
Compliance Toolkit for Approvals, Notifications and Other Regulatory Submissions to MAS for Financial Advisers
This Compliance Toolkit is to guide and facilitate financial advisers’ compliance with the various MAS approval and reporting requirements and timelines.
Related to this Item
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RegulationsLast Revised Date: 29 June 2021
Financial Advisers Regulations
Sets out the licensing, financial and business conduct requirements for financial advisers.
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NoticesLast Revised Date: 05 October 2020
Notice FAA-N20 Requirements for the Remuneration Framework for Representatives and Supervisors ("Balanced Scorecard Framework") and Independent Sales Audit Unit
Requirements on the balanced scorecard framework for representatives and supervisors of financial advisers, and the independent sales audit unit.
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NoticesLast Revised Date: 26 November 2010
Notice FAA-N14 Reporting of Misconduct of Representatives by Financial Advisers
Requirements for financial advisers to lodge a report to the Monetary Authority of Singapore (MAS), upon discovery of misconduct committed by their representatives.
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ActsPublished Date: 31 March 2007
Financial Advisers Act 2001
Governs the regulation of financial advisers in Singapore, including their representatives and supervisors.