Guidelines on Structured Deposits [FAA-G09]
Guidelines on the standards of conduct expected of financial advisers and their representatives when advising on structured deposits.
Notices
Notice FAA-N03 Information to Clients and Product Information Disclosure
General principles and requirements that apply to all disclosures to clients by financial advisers and their representatives.
Issued pursuant to:
This notice applies to:
- Licensed financial advisers and their representatives.
- Exempt financial advisers and their representatives.
- Service companies and their representatives who are exempt under regulation 29 of the Financial Advisers Regulations .
It sets out the information that should be disclosed to clients and the applicable standards of disclosure:
- General information, including regulatory status, about the financial adviser and the representative.
- Remuneration of the financial adviser.
- Conflicts of interest.
- Key features, benefits and risks of designated investment products.
- Illustration of past and future performance of designated investment products.
- Use of marketing materials.
Amendment Notes
- 08 Oct 2018
- MAS Notice FAA-N03 (Amendment) 2017 (399.2 KB) takes effect.
- 20 Feb 2013
- MAS Notice FAA-N03 (Amendment) 2013 (60.5 KB) takes effect.
- 26 Nov 2010
- MAS Notice FAA-N03 (Amendment) 2010 takes effect.
- 01 Jul 2005
- MAS Notice FAA-N03 (Amendment) 2005 takes effect.
- 18 Feb 2004
- MAS Notice FAA-N03 (Amendment) 2004 takes effect.
- 22 Dec 2003
- MAS Notice FAA-N03 (Amendment 02) 2003 takes effect.
- 20 Mar 2003
- MAS Notice FAA-N03 (Amendment) 2003 takes effect.