10. Change in particulars and additional financial advisory service of representative
Feedback & supportLast amended by an amending law of 2023. 3 amendments in all.
An appointed representative shall notify his principal of any change in any of his particulars, being particulars set out in Form 3A, within 7 days after the occurrence of such change.
A provisional representative shall notify his principal of any change in any of his particulars, being particulars set out in Form 3B, within 7 days after the occurrence of such change.
[Deleted by S 659/2018 wef 08/10/2018]
[Deleted by S 659/2018 wef 08/10/2018]
[Deleted by S 659/2018 wef 08/10/2018]
Any person who, without reasonable excuse, contravenes paragraph (1) or (2) shall be guilty of an offence.
For the purposes of section 26(6) of the Act, the principal of an appointed or a provisional representative shall notify the Authority of a change in the particulars of the representative in Form 18.
A notice under section 29(2) of the Act by a principal of its intention to appoint an appointed representative in respect of a type of financial advisory service in addition to that indicated against the appointed representative’s name in the public register of representatives shall be in Form 7.
Subregulation 1
An appointed representative shall notify his principal of any change in any of his particulars, being particulars set out in Form 3A, within 7 days after the occurrence of such change.
Subregulation 2
A provisional representative shall notify his principal of any change in any of his particulars, being particulars set out in Form 3B, within 7 days after the occurrence of such change.
Subregulation 3
[Deleted by S 659/2018 wef 08/10/2018]
Subregulation 4
[Deleted by S 659/2018 wef 08/10/2018]
Subregulation 5
[Deleted by S 659/2018 wef 08/10/2018]
Subregulation 6
Any person who, without reasonable excuse, contravenes paragraph (1) or (2) shall be guilty of an offence.
Subregulation 7
For the purposes of section 26(6) of the Act, the principal of an appointed or a provisional representative shall notify the Authority of a change in the particulars of the representative in Form 18.
Subregulation 8
A notice under section 29(2) of the Act by a principal of its intention to appoint an appointed representative in respect of a type of financial advisory service in addition to that indicated against the appointed representative’s name in the public register of representatives shall be in Form 7.