Securities and Futures Act (SFA): Primary legislation governing securities, futures, and financial advisory services in Singapore. Sets out licensing requirements, conduct standards, and regulatory framework for investment advisers.
Financial Advisers Act (FAA): Key legislation regulating financial advisory services, including requirements for licensing, conduct of business, and representative qualification requirements.
Companies Act: Fundamental legislation governing corporate entities in Singapore, relevant for corporate structure and governance requirements.
Personal Data Protection Act (PDPA): Legislation governing the collection, use, disclosure, and care of personal data, crucial for client information handling.
MAS Guidelines on Licensing: Regulatory guidelines specifying licensing requirements and business conduct standards for fund management companies and investment advisers.
MAS Guidelines on Fair Dealing: Guidelines establishing responsibilities of board and senior management in ensuring fair dealing with clients.
Notice on Technology Risk Management: MAS requirements for technology risk management and cybersecurity measures in financial institutions.
AML/CFT Requirements: Anti-Money Laundering and Counter-Terrorism Financing requirements including MAS Notice SFA04-N02 and related obligations.
Investment Products Regulations: MAS notices and guidelines on investment products, advisory services, and risk management practices.
Fee Disclosure Requirements: MAS guidelines and FAA requirements on transparency in fee structures and remuneration disclosure.
Contract Law Principles: Common law principles governing contract formation, interpretation, and enforcement in Singapore.
Fiduciary Duties: Legal obligations requiring investment advisers to act in the best interests of their clients, including duty of care and loyalty.
