Notices
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.
This notice prohibits a corporate finance adviser, a futures or OTC derivatives broker which is exempt from holding a CMS licence from representing that it is licensed, supervised, regulated or registered by MAS.
Amendment Notes
- 08 Oct 2018
- MAS Notice SFA 04-N07 (Amendment) 2018 (216.8 KB) takes effect.
- 07 Aug 2012
- MAS Notice SFA 04-N07 (Amendment) 2012 takes effect. Notice SFA 04-N07 last revised on 07 August 2012 (72.6 KB).
Related to this Notice
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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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FAQsPublished Date: 08 October 2018
FAQs on Prohibited Representations by Exempt Persons under the 2nd Schedule to the Securities and Futures (Licensing and Conduct of Business) Regulations
Provides guidance on the representations which exempt corporate finance advisers, exempt futures brokers and exempt OTC derivatives brokers are not allowed to provide.
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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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Forms and TemplatesPublished Date: 08 October 2018
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.
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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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FAQsPublished Date: 10 May 2012
FAQs on Section 6 of the Insurance Act and Section 33 of the Financial Advisers Act
Provides guidance on the circumstances under which a financial adviser can provide marketing materials and advice on life products offered by unlicensed insurers, as well as placing risks with unlicensed insurers.