FAQs
FAQs on Financial Advisers Act, Financial Advisers Regulations, Notices and Guidelines
Provides guidance to financial advisers about the FAA regime and covers topics including licensing requirements, exemptions, representative notification framework, business conduct and reporting requirements.
Related to this Item
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ConsultationsPublished Date: 29 June 2016
Proposed Legislative Amendments to Exempt Execution-Related Advice in respect of Listed Excluded Investment Products from the Financial Advisers Act
Proposed legislative amendments to the Financial Advisers Regulations to exempt execution-related advice on listed excluded investment products from the Financial Advisers Act and consequential amendments to the Notice on Recommendations on Investment Products.
- Consultation number:
- P006 - 2016
- Start date:
- 29 June 2016
- Closing date:
- 28 July 2016
- MAS response date:
- 30 December 2016
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ConsultationsPublished Date: 18 September 2015
Public Consultation on Proposed Amendments to the Securities and Futures Act, Financial Advisers Act and Trust Companies Act
Proposed amendments to enhance and harmonise MAS authorisation and supervisory powers across the SFA, FAA and TCA. MAS also sought comments on allowing the pledging of securities held in CDP direct accounts for collateralised trading.
- Consultation number:
- P015 - 2015
- Start date:
- 18 September 2015
- Closing date:
- 16 October 2015
- MAS response date:
- 09 July 2018
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ConsultationsPublished Date: 02 October 2014
Consultation Paper on (1) Draft Legislation and Proposed Legislative Amendments to Effect the Policy Proposals under the Financial Advisory Industry Review; and (2) Proposed Legislative Amendments to Authorise Inspections by Foreign Regulatory Authorities under the Financial Advisers Act
Proposed legislative amendments to raise the competency of FA representatives and quality of FA firms; lower distribution cost by enhancing market efficiency; and promote a culture of fair dealing.
- Consultation number:
- P022-2014
- Start date:
- 02 October 2014
- Closing date:
- 03 November 2014
- MAS response date:
- 11 May 2015
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ConsultationsPublished Date: 05 March 2013
Consultation Paper on Recommendations of the Financial Advisory Industry Review
Proposed recommendations aimed at raising the quality of financial advisers (FA) and competency of FA representatives, improving efficiency in the distribution of life insurance and investment products, and promoting a culture of fair dealing in Singapore.
- Consultation number:
- P004-2013
- Start date:
- 05 March 2013
- Closing date:
- 04 June 2013
- MAS response date:
- 30 September 2013
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GuidelinesPublished Date: 26 November 2010
Guidelines on Criteria for the Grant of a Financial Adviser's Licence [FAA-G01]
Guidance on the licensing admission criteria for persons applying for a financial adviser’s licence under the Financial Advisers Act (Cap. 110).
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ConsultationsPublished Date: 27 April 2010
Review of the Regulatory Regime for Fund Management Companies and Exempt Financial Intermediaries
Proposed (i) revisions to the regulatory regime for fund management companies, and (ii) removal of the licensing exemption for exempt leveraged foreign exchange traders, with clarification on the exemption regime for exempt corporate finance advisers and exempt financial advisers.
- Consultation number:
- P008 - 2010
- Start date:
- 27 April 2010
- Closing date:
- 31 May 2010
- MAS response date:
- 28 September 2010
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ConsultationsPublished Date: 16 June 2009
Policy Consultation on Amendments to the Securities and Futures (Licensing and Conduct of Business) Regulations and the Financial Advisers Regulations
Proposed revisions to both sets of regulations, in respect of registers of interests in securities, definition of customer assets, exemptions for dealing activities and maximum penalty under the general penalty provision. The paper also clarifies the types of forms to be maintained under these regulations.
- Consultation number:
- P007 - 2009
- Start date:
- 16 June 2009
- Closing date:
- 15 July 2009
- MAS response date:
- 19 October 2010