Forms and Templates
Form 25 - Declaration by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the Regulations
Form for exempt corporate finance advisers to confirm on an annual basis their compliance with all exemption conditions and restrictions. This form must be submitted within 14 days from the end of the financial year.
Form 25 should be lodged by email in a single password-protected zip file to your MAS officer-in-charge, together with any accompanying attachments in machine-readable format. The password should be communicated via a different medium (e.g. telephone).
Related to this Item
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Forms and TemplatesPublished Date: 08 October 2018
Form 22 - Notice of Commencement of Business by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the Regulations
Form for entities to notify MAS of their commencement of business as exempt corporate finance advisers. This form must be submitted within 14 days after the commencement of business.
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Forms and TemplatesPublished Date: 08 October 2018
Form 23 - Notice of Change of Particulars by Person Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance
Form to be submitted by exempt corporate finance advisers to notify MAS of any change of their particulars within 14 days after the date of change.
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Forms and TemplatesPublished Date: 08 October 2018
Form 24 - Notice of Cessation of Business by Persons Exempted from Holding Capital Markets Services Licence to carry on Business in Advising on Corporate Finance under Paragraph 7(1)(b) of the Second Schedule to the Regulations
Form for exempt corporate finance advisers when they cease their corporate finance advisory business. This form must be submitted within 14 days after the cessation of business.
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RegulationsLast Revised Date: 08 October 2018
Securities and Futures (Licensing And Conduct Of Business) Regulations
Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
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FAQsLast Revised Date: 08 October 2018
FAQs on Exempt Persons
Provides guidance on regulatory requirements that an exempt person serving not more than 30 accredited investors or an exempt corporate finance adviser is expected to comply with, including criteria for exemption, form for lodgement as an exempt person and ongoing regulatory requirements.
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NoticesLast Revised Date: 05 October 2018
Notice SFA 04-N07 Prohibited Representations Made by Exempt Persons Under the 2nd Schedule to the Securities & Futures (Licensing & Conduct of Business) Regulations
Stipulates the prohibited representations by exempt persons.