What are the minimum entry and examination requirements, as well as the continuing professional development (“CPD”) requirements, for appointed representatives?

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Accepted Answer

The competency requirements, including entry, examination and CPD requirements, are set out in the Notice on Competency Requirements for Representatives of Holders of Capital Markets Services Licence and Exempt Financial Institutions (“SFA Notice”) and the Notice on Competency Requirements for Representatives of Financial Advisers (“FAA Notice”) for the relevant regulated activities that the representatives are appointed to conduct under the Securities and Futures Act and the Financial Advisers Act respectively. You may also refer to the FAQs to the Notices (SFA Notice and FAA Notice) for more information.

This information is sourced from MAS.

What are the minimum entry and examination requirements, as well as the continuing professional development (“CPD”) requirements, for appointed representatives?

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