Last Revised Date: 05 October 2018

Notice ​SFA 04-N07 Prohibited Representations Made by Exempt Persons Under the 2nd Schedule to the Securities & Futures (Licensing & Conduct of Business) Regulations

Stipulates the prohibited representations by exempt persons.

This notice prohibits a corporate finance adviser, a futures or OTC derivatives broker which is exempt from holding a CMS licence from representing that it is licensed, supervised, regulated or registered by MAS.

Amendment Notes

07 Aug 2012
MAS Notice SFA 04-N07 (Amendment) 2012 takes effect. Notice SFA 04-N07 last revised on 07 August 2012 (72.6 KB).