How to qualify to be a provisional or temporary representative, or to appoint one.

Provides guidance on the scope of capital markets services licensing (other than for fund management companies); appointment of representatives; business conduct rules; and the application of the SFA and SF(LCB)R to banks, merchant banks, finance companies and insurers.

Provides guidance on the representations which exempt corporate finance advisers, exempt futures brokers and exempt OTC derivatives brokers are not allowed to provide.

Guidelines on procedures to apply for a Capital Markets Services (CMS) or Financial Advisory (FA) licence, appoint representatives and pay fees.