14 questions
Capital Market Entities
How can a single family office be exempted from the requirement to hold a CMS licence to conduct fund management activity?
What is the application process and conduct requirements for a REIT manager in Singapore?
What is the application process and conduct requirements for capital markets services licensees other than fund managers and REIT managers (e.g. broker-dealers, corporate finance advisors, securities financiers, custodians and credit rating agencies) in Singapore?
If a company is interested in establishing a financial advisory firm in Singapore, what is the application process and admission requirements when applying for a financial adviser’s licence?
Under what circumstances can a company be exempted from the requirement to hold a financial adviser’s licence?
Can licensed financial advisers and their representatives conduct non-Financial Advisory activities like being a real estate agent?
What are the requirements to be registered as an insurance broker?
What are the minimum entry and examination requirements, as well as the continuing professional development (“CPD”) requirements, for appointed representatives?
Where can appointed representatives find records of their past regulated activities?
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