These guidelines apply to:

        a) Persons applying for a capital markets services’ (CMS) licence.       

        b) Person applying for a financial adviser’s (FA) licence.       

        c) Capital markets services licensee.       

        d) Licensed financial advisers.       

        e) Appointed, provisional or temporary representatives.

They set out the administrative procedures in respect of applications for (i) CMS or FA licences and (ii) addition of new regulated activities, and (iii) appointment of representatives. They also explain the computation of fees and procedures for fee payment.

Amendment Notes

08 Oct 2018
CMG-G01 (Amendment) 2018 takes effect.
26 Nov 2010
Previous version last issued on 026 Nov 2010 [Cancelled]