Financial Advisers Regulations

Financial Advisers Regulations

This set of regulations applies to:

Licensed financial advisers and their representatives.
Exempt financial advisers and their representatives.
It sets out requirements relating to:

Licensing and key appointments.
Representative notification framework.
Financial requirements.
Conduct of business.
Accounts and audit.
Types of non-financial advisory services allowed.
Handling of customers’ moneys and assets.
The various Schedules to the regulations further set out the following:

Second Schedule – table of fees payable to MAS.
Third Schedule – form for acceptance of composition of fine.
Fourth Schedule – requirements of direct purchase insurance product.
Fifth Schedule – type of securities considered as a listed excluded investment product.
Sixth Schedule – examples of product advertisements that are false or misleading, not fair or unbalanced or information not presented in a clear manner.

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