Notices
Last Revised Date: 05 October 2018

Notice FAA-N13 Minimum Entry and Examination Requirements for Representatives of Licensed Financial Advisers and Exempt Financial Advisers

Eligibility requirements for representatives of financial advisers, including CMFAS examination and continuing education requirements.

This notice applies to all licensed financial advisers, exempt financial advisers and their appointed representatives.

It sets out the following requirements for appointed representatives:

  • Minimum entry requirements.
  • Application of the Capital Markets and Financial Advisory Services (CMFAS) examination requirements.
  • Circumstances under which the CMFAS examination requirements do not apply.
  • Obligations of licensed financial advisers and exempt financial advisers to maintain a register on the representatives’ compliance with the CMFAS examination requirements.
  • Continuing professional development requirements.

Amendment Notes

07 Oct 2015
MAS Notice FAA-N13 (Amendment) 2015 takes effect.
10 Jun 2014
MAS Notice FAA-N13 (Amendment) 2014 takes effect.
01 Feb 2014
MAS Notice FAA-N13 (Amendment No. 2) 2013 takes effect.
20 Feb 2013
MAS Notice FAA-N13 (Amendment) 2013 takes effect.
02 May 2012
MAS Notice FAA-N13 (Amendment) 2012 takes effect.
19 Oct 2011
MAS Notice FAA-N13 (Amendment) 2011 takes effect.