Notices
Notice SFA 04-N10 Entry Requirements of a Provisional or Temporary Representative
How to qualify to be or appoint provisional and temporary representatives.
Issued pursuant to:
Securities and Futures Act (Cap. 289) section 99E , section 99F and section 101
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.
Amendment Notes
There are no amendment notes for this notice.
Related to this Notice
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FAQsLast Revised Date: 13 September 2023
FAQs on Licensing and Business Conduct (Other than for Fund Management Companies)
Provides guidance on • the scope of capital markets services licensing (other than for fund management companies) • appointment of representatives • business conduct rules • the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.
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FAQsLast Revised Date: 01 June 2023
FAQs on the Licensing and Registration of Fund Management Companies
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.
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GuidelinesLast Revised Date: 08 October 2021
Guidelines on Licence Applications, Representative Notification and Payment of Fees [CMG-G01]
Guidelines on procedures to apply for a Capital Markets Services or Financial Advisory licence, appoint representatives and pay fees.
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NoticesLast Revised Date: 08 April 2020
Notice SFA 04-N09 Minimum Entry and Examination Requirements for Representatives of Holders of Capital Markets Services licence and Exempt Financial Institutions under the SFA
How to qualify to be a representative, or appoint a representative, to conduct regulated activities under the Securities and Futures Act (SFA)
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FAQsPublished Date: 08 April 2020
FAQs on Minimum Entry and Examination Requirements for Representatives of Capital Markets Services Licence Holders and Exempt Financial Institutions
Provides guidance on the minimum academic and examination requirements as well as continuing education requirements for representatives of capital markets services licensees, banks, merchant banks, finance companies and insurers.
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Forms and TemplatesPublished Date: 08 October 2018
Form 3C - Notification for Appointment of a Temporary Representative
Form for capital markets services (CMS) licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of temporary representatives who reside outside Singapore but plan to conduct activities in Singapore for a limited period of time.
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CircularsPublished Date: 08 October 2018
CMI 01/2011 Due Diligence Checks and Documentation in Respect of the Appointment of Appointed, Provisional, and Temporary Representatives
This circular applies to capital markets services licensees, banks, merchant banks, finance companies, insurers and financial advisers. It sets out the requirements on due diligence checks and documentation relevant to the fit and proper certification of their representatives.
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Forms and TemplatesLast Revised Date: 08 October 2018
Form 3B - Notification for Appointment of a Provisional Representative
Form for licensed financial advisers and exempt financial advisers to notify MAS of the appointment of provisional representatives.
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Forms and TemplatesLast Revised Date: 08 October 2018
Form 3D - Notification of the Completion of Examination Requirements by a Provisional Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the completion of the examination requirements by a provisional representative.
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ConsultationsPublished Date: 20 March 2003
Consultation Paper on Granting of Temporary Capital Markets Services Representative's Licence
Proposed criteria for granting temporary licence to individuals residing outside Singapore who plan to conduct regulated activities in Singapore for a limited period of time.
- Consultation number:
- -
- Start date:
- 20 March 2003
- Closing date:
- 19 April 2003