Forms and Templates
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.
Form 3D is to be submitted on-line using the Corporations and Representatives System (CoRe) on MASNET.
MASNET is a closed communication network system operated by the Authority which a capital markets services licensee, a financial institution exempt from holding CMS Licence under section 99(1)(a), (b), (c) or (d) of the SFA, a licensed financial adviser or an exempt financial adviser under section 23(1)(a), (b), (c), (d) or (e) of the FAA needs to subscribe to for the purpose of lodging the form.
Related to this Item
-
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.
-
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.
-
CircularsPublished Date: 08 October 2018
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.
-
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.
-
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.
-
RegulationsPublished Date: 23 May 2002
Securities and Futures (Opportunity to be Heard) Regulations
Provides for a person to be given an opportunity to be heard by MAS and to be given at least 10 days to submit any written supporting documents as to why MAS should reconsider the decision it intends to make.