Provides guidance on the requirements and procedures to apply to be a fund management company, and to appoint representatives to carry out fund management activities.
Notice SFA 04-N10 Entry Requirements of a Provisional or Temporary Representative
This notice applies to:
- Capital markets services (CMS) licensees.
- Banks, merchant banks, finance companies and insurers conducting regulated activities under the SFA.
It sets out minimum entry requirements, such as regulatory status, prior experience and qualifications, for individuals to be appointed as provisional or temporary representatives, as well as the validity period of such appointments.
There are no amendment notes for this notice.