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NEW REGULATORY REGIME FOR REPRESENTATIVES OF CMS LICENSEES AND FAA LICENSEES

February 2009 - Finance. Legal Developments by Drew & Napier LLC .

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The Securities and Futures (Amendment) Bill and the Financial Advisers (Amendment) Bill of 2009 were passed by Parliament on 19 January 2009. They will effect a very significant change to the regulatory regime for representatives employed by holders of capital markets services (“CMS”) licences and financial advisers (“FA”) licences under the Securities and Futures Act (the “SFA”) and Financial Advisers Act (the “FAA”) respectively.

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