Singapore legislation
Regulation 6
of Financial Advisers (Complaints Handling and Resolution) Regulations 2021
Regulation 6
Oversight of compliance with Regulations
A financial adviser must appoint either of the following to be responsible for the oversight of compliance with these Regulations by the financial adviser:
(a)
a member of the financial adviser’s senior management who is not directly involved in the provision of any financial advisory service;
(b)
a committee comprising 2 or more members of the financial adviser’s senior management who are not directly involved in the provision of any financial advisory service.