Circulars
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 and insurers. It sets out the requirements on due diligence checks and documentation relevant to the fit and proper certification of their representatives.
Related to this Item
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NoticesPublished Date: 26 November 2018
Notice SFA 04-N10 Entry Requirements of a Provisional or Temporary Representative
How to qualify to be a provisional or temporary representative, or to appoint one.
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Forms and TemplatesPublished Date: 09 October 2018
Form 3A - Notification for Appointment of an Appointed Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of representatives.
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Forms and TemplatesPublished Date: 08 October 2018
Form 3C - Notification for Appointment of a Temporary Representative
Form for 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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Forms and TemplatesPublished Date: 08 October 2018
Form 3B - Notification for Appointment of a Provisional Representative
Form for licensed financial advisers, capital markets services licensees, banks, merchant banks, finance companies and insurers to notify MAS of the appointment of provisional representatives relocating to Singapore with past experience in conducting regulated activities.
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GuidelinesLast Revised Date: 08 October 2018
Guidelines on Fit and Proper Criteria [FSG-G01]
Guidelines on fit and proper criteria for all relevant persons carrying out any activity regulated by MAS.
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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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NoticesLast Revised Date: 05 October 2018
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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ConsultationsPublished Date: 12 December 2016
Consultation Paper on Review of Competency Requirements for Representatives Conducting Regulated Activities under the Securities and Futures Act and Financial Advisers Act
Proposed enhancements to the examination framework for appointed representatives under the SFA and FAA, e.g. minimum academic qualifications under the Capital Markets and Financial Advisory Services Examination (CMFAS) and Continuing Professional Development (CPD) requirements.
- Consultation number:
- P015 - 2016
- Start date:
- 12 December 2016
- Closing date:
- 13 January 2017
- MAS response date:
- 25 September 2017
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GuidelinesPublished Date: 01 November 2016
Guidelines on Licence Applications, Representative Notification and Payment of Fees [CMG-G01]
Guidelines on procedures to apply for a Capital Markets Services (CMS) or Financial Advisory (FA) licence, appoint representatives and pay fees.
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GuidelinesPublished Date: 01 November 2016
Guidelines on Criteria for the Grant of a Capital Markets Services Licence Other Than for Fund Management and Real Estate Investment Trust Management [SFA 04-G01]
How to qualify to be a CMS licensee (other than a fund manager or REIT manager).
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GuidelinesPublished Date: 07 August 2012
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.
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NoticesPublished Date: 26 November 2010
Notice SFA 04-N11 Reporting of Misconduct of Representatives by Holders of Capital Markets Services Licence and Exempt Financial Institutions
How financial institutions should handle and report misconduct of their representatives to MAS.