Guidelines on procedures to apply for a Capital Markets Services or Financial Advisory licence, appoint representatives and pay fees.

Sets out the licensing, financial and business conduct requirements for financial advisers.

Requirements on the balanced scorecard framework for representatives and supervisors of financial advisers, and the independent sales audit unit.

Requirements for financial advisers to lodge a report to the Monetary Authority of Singapore (MAS), upon discovery of misconduct committed by their representatives.

Governs the regulation of financial advisers in Singapore, including their representatives and supervisors.