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DUE DILIGENCE CHECKS AND DOCUMENTATION …

Circular No.: CMI 01/2011 7 February 2011 [To All Holders of Capital Markets Services Licence] [To All Holders of Financial Advisers Licence] [To All Financial Institutions Exempt from Holding Capital Markets Services Licence] [To All Exempt Financial Advisers] Dear Sirs DUE DILIGENCE CHECKS AND DOCUMENTATION IN RESPECT OF THE APPOINTMENT OF APPOINTED, PROVISIONAL AND TEMPORARY REPRESENTATIVES MAS expects all financial institutions [ FIs ] to ensure that the persons they employ or appoint to conduct regulated activities on their behalf under the Securities and Futures Act [ SFA ] and the Financial Advisers Act [ FAA ] are fit and proper.

Monetary Authority of Singapore 2 This circular provides guidance to assist FIs in their conduct of due diligence checks and documentation relevant to …

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