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Place at which register is kept

Financial Advisers Regulations

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—(1) A relevant person shall keep the register of his interest in listed specified products referred to in regulation 20A —(a)in the case of an individual, at his principal place of business; or(b)in the case of a corporation, at any of its places of business.(2) The register of interests in listed specified products may be kept in electronic form if the relevant person ensures that full access to such register may be gained by the Authority at the place referred to in paragraph (1)(a) or (b), as the case may be.(3) [Deleted by S 659/2018 wef 08/10/2018](4) [Deleted by S 659/2018 wef 08/10/2018](5) [Deleted by S 659/2018 wef 08/10/2018](6) A relevant person who is a licensed financial adviser shall maintain records of the places at which its representatives keep their registers of their interests in listed specified products and the places at which copies of those registers are kept in Singapore under regulation 20A(1)(iv).(7) A relevant person who is a licensed financial adviser shall, upon the Authority’s request —(a)produce for the Authority’s inspection the records referred to in paragraph (6); and(b)allow the Authority to make a copy of, or take extracts from, such records.(8) Any person who contravenes paragraph (1), (2), (6) or (7) shall be guilty of an offence.(9) [Deleted by S 659/2018 wef 08/10/2018]

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