Guidelines on Licensing, Registration and Conduct of Business for Fund Management Companies [SFA 04-G05]
How to qualify to be and conduct your business as a fund manager.
How financial institutions should handle and report misconduct of their representatives to MAS.
This notice applies to:
It sets out the responsibilities and reporting requirements of these financial institutions for the misconduct of their representatives, including:
There are no amendment notes for this notice.
How to qualify to be and conduct your business as a fund manager.
This consultation seeks views on the revised notices on misconduct reporting requirements.
Proposed revisions to requirements for the submission of misconduct reports and proposals to mandate FIs to conduct and respond to reference checks on 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.