# legal_provisions

document_id: evca-2022
provision_ref: s66
chapter: PART 8 - MINIMUM ELECTRICAL LOAD AND
section: 66
title: Request for information from market support services licensee
content:
66. —(1) The LTA may, by written notice, require any market support services licensee to provide the following, within a reasonable period and in the form and manner specified in the notice: ( a ) any information and document relating to the approved electrical load of any development; ( b ) any information and document relating to the location and type of the development; ( c ) any information and document relating to the identity and contact details of the person who is granted the approved electrical load of the development; ( d ) any other information or document which the LTA considers necessary for the purpose of ensuring compliance with this Division. (2) A person who, without reasonable excuse, fails to comply with the request under subsection (1) shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $10,000; and ( b ) in the case of a continuing offence, to a further fine not exceeding $250 for every day or part of a day during which the offence continues after conviction. (3) A person who — ( a ) intentionally alters, suppresses or destroys any information or document required by the request; or ( b ) intentionally provides to the LTA any information or document that is false or misleading in a material particular, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. (4) It is not a reasonable excuse for a person to fail to comply with the request under subsection (1) on the ground that the disclosure of any information or document required to be provided to the LTA might tend to incriminate the person.


document_id: evca-2022
provision_ref: s67
chapter: PART 9 - APPEALS
section: 67
title: Interpretation of this Part
content:
67. In this Part — “appealable decision” means any of the following decisions of the LTA: ( a ) a decision under section 9(1) revoking a section 7(3) approval; ( b ) a decision under section 43(1)( b ) refusing the grant or renewal of a licence; ( c ) a decision under section 45 imposing a condition in a licence; ( d ) a modification under section 46 of a condition in a licence; ( e ) a refusal to modify the types of EV chargers that the licensee is authorised under its licence to use in undertaking a regulated activity under section 47; ( f ) a refusal under section 48 to consent to a surrender of a licence; ( g ) a direction under section 52(1) to a licensee; ( h ) a decision under section 53(1) to revoke a licence; ( i ) a decision under section 53 or 54(2) to take regulatory action against a licensee or a former licensee; “appellant” means the following in relation to an appealable decision: ( a ) a person to whom a section 7(3) approval is granted, where the appealable decision is within paragraph ( a ) of the definition of “appealable decision”; ( b ) an applicant for the grant or renewal of a licence, where the appealable decision is within paragraph ( b ) of the definition of “appealable decision”; ( c ) a licensee or former licensee, where the appealable decision is within paragraph ( h ) or ( i ) of the definition of “appealable decision”; ( d ) a licensee where the appealable decision is any other paragraph of the definition of “appealable decision”.


document_id: evca-2022
provision_ref: s68
chapter: PART 9 - APPEALS
section: 68
title: Appeal to Minister
content:
68. —(1) An appellant who is aggrieved by an appealable decision may appeal to the Minister against the decision in accordance with this section. (2) An appeal under this section must be in writing and specify the grounds on which it is made, and be made within 28 days after the date the decision appealed against is given to the appellant, or such longer period as the Minister may allow in any particular case for special reasons. (3) The Minister may reject an appeal of an appellant who fails to comply with subsection (2). (4) An appeal against an appealable decision does not affect the operation of the decision appealed against or prevent the taking of action to implement the decision, and unless otherwise directed by the Minister under this subsection, the decision appealed against must be complied with until the determination of the appeal.


document_id: evca-2022
provision_ref: s69
chapter: PART 9 - APPEALS
section: 69
title: Decision on appeal
content:
69. —(1) After considering an appeal under section 68, the Minister may — ( a ) reject the appeal and confirm the appealable decision; or ( b ) allow the appeal and reverse the appealable decision. (2) In relation to the Minister determining an appeal made under section 68, sections 7 and 9 and Part 6 apply as if the reference in those sections and that Part to the LTA were a reference to the Minister. (3) Every appellant must be notified of the Minister’s decision under subsection (1). (4) The decision of the Minister, or an office‑holder designated under section 70, on an appeal is final.


document_id: evca-2022
provision_ref: s70
chapter: PART 9 - APPEALS
section: 70
title: Designate may hear appeal in place of Minister
content:
70. —(1) The Minister may designate any of the following office‑holders in his or her Ministry to hear and determine, in the Minister’s place, any appeal made under section 68: ( a ) the Second Minister, if any; ( b ) any Minister of State or Senior Minister of State; ( c ) any Parliamentary Secretary or Senior Parliamentary Secretary. (2) A reference to the Minister in section 68 or 69 includes a reference to a person designated under subsection (1).


document_id: evca-2022
provision_ref: s71
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 71
title: Labels and marking of EV chargers
content:
71. —(1) In any proceedings for an offence under section 6, 11, 18, 23, 24, 29, 30, 32 or 33, if an EV charger is supplied, installed or certified in Singapore, or is used to charge an electric vehicle in Singapore, with — ( a ) any approval label made available by the LTA under section 8(1)( b ); or ( b ) any alteration‑approved label made available by the LTA under section 13(1), affixed to it in accordance with the Regulations, the label is sufficient evidence of the fact that the EV charger is of a homologated model unless the contrary is established. (2) In any proceedings for an offence under section 6, 11, 18, 23, 24, 29, 30, 32 or 33, if an EV charger is used to charge an electric vehicle in Singapore, with a registration mark issued by the LTA under section 20(1)( c ) for a registered‑for‑charging EV charger affixed to it in accordance with the Regulations, the label is sufficient evidence of the fact that the EV charger is a registered‑for‑charging EV charger unless the contrary is established.


document_id: evca-2022
provision_ref: s72
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 72
title: Extract of register of registered-for-charging EV chargers
content:
72. A certificate signed or purporting to be signed by an authorised officer and stating that — ( a ) an EV charger described or specified in the certificate was or was not registered as a registered‑for‑charging EV charger at a specified time; or ( b ) any other particulars or information was recorded in the register of registered‑for‑charging EV chargers at a specified time, is admissible in any legal proceedings and is prima facie evidence of the facts stated in the certificate. Division 2 &#x2014; Powers


document_id: evca-2022
provision_ref: s73
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 73
title: Purpose for which powers are exercisable
content:
73. —(1) An authorised officer may exercise the powers set out in this Part for all or any of the following purposes: ( a ) to detect and investigate offences under this Act, whether committed by a licensee or any other person; ( b ) to determine whether there are grounds for taking any regulatory action under Division 4 of Part 6; ( c ) to determine whether information given to the LTA or an authorised officer under any provision of this Act is correct. (2) To avoid doubt, nothing in this Part limits section 39 of the Land Transport Authority of Singapore Act 1995 with respect to an offence under this Act. (3) Nothing in this Part affects a police officer’s powers or duties under any provision of the Criminal Procedure Code 2010 or any other written law.


document_id: evca-2022
provision_ref: s74
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 74
title: Powers of entry, etc., at premises
content:
74. —(1) An authorised officer may without warrant, enter, at all reasonable times, and remain at — ( a ) any premises where a licensee or former licensee has an office or keeps records that relate to any regulated activity undertaken by the licensee or former licensee; ( b ) any premises where the officer believes on reasonable grounds are used for the carrying on of a business or a trade (but not a residence) of — (i) supplying or altering any EV charger; (ii) providing an EV charging service; or (iii) operating a charging station; and ( c ) any premises where the officer believes on reasonable grounds that — (i) an offence under section 18, 23, 24, 29 or 30 is being or has been committed; or (ii) an activity mentioned in section 39(1) is being or has been carried on in contravention of a safety and security directive given under section 37, provided that where the premises is a residence, entry is made only if the occupier of the premises has consented to the entry or after giving 6 hours’ prior notice of that entry. (2) Upon entering any premises under subsection (1), an authorised officer may do all or any of the following: ( a ) examine any thing or observe any activity conducted in or on the premises; ( b ) inspect the premises and any document or article or other thing in or on the premises; ( c ) make a still or moving image or recording of the premises and any document or article or other thing in or on the premises; ( d ) inspect any document or article found in or on the premises and take extracts from, or make copies of, any such document or article; ( e ) seize any document or article found in or on the premises if, in the opinion of the authorised officer — (i) the inspection or copying of or extraction from the document or article cannot reasonably be performed without taking possession; (ii) the document or article may be interfered with or destroyed unless possession is taken; or (iii) the document or article may be required as evidence in any criminal proceedings or regulatory action instituted or commenced under this Act; ( f ) operate electronic equipment in or on the premises; ( g ) seize and take it to a holding yard, any EV charger found on the premises that is or the officer reasonably believes to be — (i) neither of a homologated model nor a specially authorised EV charger; or (ii) the subject matter or used in the commission of an offence under this Act, or require the owner or person in charge of the EV charger to take the EV charger to and surrender it at a specified holding yard; ( h ) take into or onto the premises any equipment and materials as the authorised officer requires for the purpose of exercising powers in this section in relation to those premises. (3) For the purposes of subsection (2), if any information in a document or article required by an authorised officer is kept in electronic form — ( a ) the power of an authorised officer to inspect the document or article includes the power — (i) to access any computer or other equipment (including a mobile telephone) in which the information is stored; and (ii) to require any person having charge of, or otherwise concerned with the operation of, the computer or equipment to provide assistance in gaining such access; and ( b ) the power of an authorised officer to seize such document includes the power — (i) to make copies of the document in legible or electronic form; and (ii) to transfer the information from the document to a disk, tape or other storage device. (4) If an authorised officer under subsection (3)( b ) is unable to make copies of the document or transfer the information from the document, the authorised officer (whether or not the same inspecting officer) may — ( a ) seize the computer or other equipment (including a mobile telephone) in which the document or information is stored, as evidence in proceedings for an offence under any provision of this Act; and ( b ) require any person having charge of, or otherwise concerned with the operation of, the computer or equipment to disclose any password or access code for gaining access to the document or information held in the computer or equipment. (5) The power under subsection (2)( f ) to operate electronic equipment in or on any premises includes the power — ( a ) to use a disk, tape or other storage device that is in or on the premises and can be used with the equipment or in association with the equipment; ( b ) to operate electronic equipment in or on the premises to put the relevant data in documentary form and remove the documents so produced from the premises; and ( c ) to operate electronic equipment in or on the premises to transfer the relevant data to a disk, tape or other storage device that — (i) is brought to the premises for the exercise of the power; or (ii) is in or on the premises and the use of which for that purpose has been agreed in writing by the occupier of the premises, and to remove the disk, tape or other storage device from those premises. (6) An authorised officer may break open doors, windows or partitions and do such other acts as may be necessary to enter and remain at any premises, except that an authorised officer may exercise a power under this subsection only — ( a ) after declaring his or her office and after producing his or her identification card on demand being made; and ( b ) in circumstances where the authorised officer — (i) suspects on reasonable grounds that an offence under section 18, 23, 24, 29 or 30 or Part 5 has been or is being committed in relation to those premises; and (ii) is unable to enter, or is refused entry to, the premises. (7) An authorised officer entering any premises for a purpose in subsection (1) may be accompanied by a number of outsourced enforcement officers as is reasonably necessary for that purpose.


document_id: evca-2022
provision_ref: s75
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 75
title: Powers in relation to motor vehicles
content:
75. —(1) An authorised officer may without warrant, do all or any of the following in relation to any motor vehicle which an authorised officer has reasonable grounds to believe that is charging or was recently charged with an EV charger: ( a ) to stop and detain the motor vehicle for as long as is reasonably necessary for the exercise of any other power under this section; ( b ) inspect the motor vehicle and any equipment in or on the motor vehicle; ( c ) make a still or moving image or recording of the motor vehicle and any document or article or other thing in or on the motor vehicle; ( d ) inspect any document or article found on the motor vehicle and take extracts from, or make copies of, any such document or article; ( e ) seize any document or article found on the motor vehicle if, in the opinion of the authorised officer — (i) the inspection or copying of or extraction from the document or article cannot reasonably be performed without taking possession; (ii) the document or article may be interfered with or destroyed unless possession is taken; or (iii) the document or article may be required as evidence in any criminal proceedings or regulatory action instituted or commenced under this Act; ( f ) operate any electronic equipment in or on the motor vehicle; ( g ) seize and take it to a holding yard, any EV charger found in or on the motor vehicle that is or the officer reasonably believes to be — (i) neither of a homologated model nor a specially authorised EV charger; or (ii) the subject matter or used in the commission of an offence under this Act, or require the owner or person in charge of the EV charger to take the EV charger to and surrender it at a specified holding yard; ( h ) take into or onto the premises any equipment and materials that the authorised officer requires for the purpose of exercising powers in this section in relation to the motor vehicle. (2) Section 74(3), (4) and (5) applies to the power of an authorised officer under this section with the necessary modifications. (3) An authorised officer may be accompanied by a number of outsourced enforcement officers as is reasonably necessary for a purpose in subsection (1)( b ), ( c ) or ( d ).


document_id: evca-2022
provision_ref: s76
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 76
title: Power to obtain information
content:
76. —(1) The powers in this section may be exercised only in relation to any of the following: ( a ) any licensee; ( b ) any employee or former employee of a licensee. (2) An authorised officer may by written notice require any person mentioned in subsection (1) to provide, within a reasonable period specified in the notice, and in the form and manner that may be specified in the notice, all information and all documents or material which — ( a ) relate to any matter which the LTA or authorised officer considers necessary for any of the purposes of section 73(1); and ( b ) are — (i) within the knowledge of that person; or (ii) in the custody or under the control of the person. (3) The power to require a person mentioned in subsection (1) to provide any information or any document or material under that subsection includes the power — ( a ) to require that person to produce or grant access to the information or document or material; ( b ) to require that person to provide an explanation of the information or document or material; ( c ) if the information or document or material is not produced, to require the person to state, to the best of the knowledge and belief of that person, where it is; and ( d ) if the information or material is recorded otherwise than in legible form, to require the information or material to be made available to an authorised officer concerned in legible form. (4) An authorised officer is entitled without payment to keep for the purposes of section 73(1) any information or document or material, or any copy or extract thereof, provided to him or her under subsection (2).


document_id: evca-2022
provision_ref: s77
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 77
title: Power of examination
content:
77. —(1) An authorised officer may, for the purposes of section 73(1), do all or any of the following: ( a ) require any individual whom the authorised officer reasonably believes to have committed an offence under this Act to provide evidence of that individual’s identity; ( b ) require, by written notice, any person, whom the authorised officer reasonably believes has — (i) any information or material; or (ii) any document in the person’s custody or control, that is relevant to the investigation, to provide that information or material or the document, within such time and in such manner as may be specified in the written notice; ( c ) require, by written notice, any person within the limits of Singapore, who appears to be acquainted with the facts or circumstances of the matter, to attend before the authorised officer; ( d ) examine orally any individual who appears to be acquainted with the facts or circumstances of the matter — (i) whether before or after that individual or anyone else is charged with an offence in connection with the matter; or (ii) whether or not that person is to be called as a witness in any inquiry, trial or other proceeding in connection with the matter. (2) A statement made by an individual examined under subsection (1)( d ) must — ( a ) be reduced to writing; ( b ) be read over to the individual; ( c ) if the individual does not understand English, be interpreted in a language that the individual understands; and ( d ) after correction (if necessary), be signed by the individual. (3) An outsourced enforcement officer may, for the purpose of section 73(1), require any individual whom the officer reasonably believes to have committed an offence under this Act to provide evidence of that individual’s identity.


document_id: evca-2022
provision_ref: s78
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 78
title: Power to remove, etc., EV chargers
content:
78. —(1) In addition to any powers in this Division, where an authorised officer has reason to believe that an EV charger is — ( a ) neither of a homologated model nor a specially authorised EV charger; or ( b ) the subject of or used in the commission of an offence under this Act, the authorised officer may by written order require any of the following to be done: ( c ) the supply of the EV charger must stop until the order is withdrawn; ( d ) the provision of EV charging services or undertaking of any other regulated activity using that EV charger must stop until the order is withdrawn; ( e ) the EV charger must be removed from any electrical installation it is affixed to; ( f ) the EV charger must be altered so as to put an end to the contravention giving rise to the commission of the offence. (2) An order made under subsection (1) must specify all or any of the following: ( a ) the manner in which the removal or alteration work specified in the order is to be carried out; ( b ) the time within which the removal or alteration work specified must start; ( c ) the time within which the removal or alteration work specified must be completed; ( d ) that the removal or alteration work specified must be carried out with due diligence to the satisfaction of the LTA, and at the cost of the person on whom the order is given under subsection (3). (3) An order made under subsection (1) must be given — ( a ) to the owner of the EV charger; and ( b ) where the EV charger is being supplied or used to provide EV charging services or to undertake any other regulated activity — to the person supplying the EV charger or providing the EV charging services or undertaking the regulated activity, as the case may be. (4) If an order made under subsection (1) is not complied with, the LTA may — ( a ) remove to a holding yard or alter, or cause to be so removed or altered, any EV charger in subsection (1) or take any other steps that appear to the LTA to be necessary to secure compliance with the order; and ( b ) recover all expenses reasonably incurred by the LTA in the exercise of powers under this subsection from the person in default. (5) Without affecting the right of the LTA to exercise powers under subsection (4), if any person to whom an order is made under subsection (1), without reasonable excuse, refuses or neglects to comply with the order, that person shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 6 months or to both; and ( b ) in respect of a continuing failure to comply, to an additional fine not exceeding $500 for every day or part of a day the failure to comply continues up to a total maximum of $10,000. (6) In any proceedings for an offence under subsection (5), it is a defence for the person charged to prove, on a balance of probabilities, that the person has no legal right to remove or alter the EV charger in question. (7) For the purpose of exercising a power under subsection (4), an authorised officer may, with such assistance as he or she considers necessary, use reasonable force, including cutting or breaking open any lock, seal, fastener or other device on or connected to the EV charger in question. Division 3 &#x2014; Offences


document_id: evca-2022
provision_ref: s79
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 79
title: Obstructing authorised officer, etc.
content:
79. —(1) If an authorised officer or outsourced enforcement officer is authorised under this Act to enter any premises, a person who — ( a ) wilfully prevents the authorised officer or outsourced enforcement officer from entering or re‑entering those premises or any part of those premises; or ( b ) wilfully obstructs or delays the authorised officer or outsourced enforcement officer from entering or re‑entering those premises or any part of those premises, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. (2) A person who intentionally refuses to give access to, or intentionally obstructs, hinders or delays an authorised officer or outsourced enforcement officer in the discharge of his or her duties under any provision of this Act shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both.


document_id: evca-2022
provision_ref: s80
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 80
title: Other offences
content:
80. —(1) A person who, without reasonable excuse, fails to do anything required of the person — ( a ) by an authorised officer under section 74(2) or 75(1); ( b ) by a notice under section 76(2) or 77(1); or ( c ) by an outsourced enforcement officer under section 77(3), shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. (2) A person — ( a ) who intentionally alters, suppresses or destroys any information or any document or material which the person has been required by an authorised officer under section 76(2) or 77 to provide; or ( b ) who, in providing any information or any document or material required by an authorised officer under section 76(2) or 77 makes any statement which the person knows or ought reasonably to know that, or is reckless as to whether, it is false or misleading in a material particular, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. (3) In any proceedings for an offence under subsection (1), it is a defence for the accused to prove, on a balance of probabilities, that — ( a ) the person does not possess the information or document required; and ( b ) the person has taken all reasonable steps available to the person to obtain the information or document required and has been unable to obtain it. (4) To avoid doubt, for the purposes of subsection (1), it is a reasonable excuse for a person to refuse or fail to provide any information, produce any document or answer any question if doing so might tend to incriminate that person. (5) A person commits an offence if the person, being an applicant for the grant of an approval under Part 2 or a licence under Part 6 — ( a ) provides, or causes or permits to be provided, any information or document in connection with the application, which is false or misleading in a material particular; and ( b ) knows or ought reasonably to know that, or is reckless as to whether, the information or document is false or misleading in a material particular. (6) A person who is guilty of an offence under subsection (5) shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. Division 4 &#x2014; Supplementary powers


document_id: evca-2022
provision_ref: s81
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 81
title: Composition of offences
content:
81. —(1) The LTA or an authorised officer may compound any offence under this Act that is prescribed as a compoundable offence — ( a ) by collecting from a person reasonably suspected of having committed the offence a sum not exceeding the lower of the following: (i) one half of the amount of the maximum fine that is prescribed for the offence; (ii) $5,000; and ( b ) by requiring the person reasonably suspected of having committed the offence to do, or to refrain from doing, such things as are specified in an offer of composition (called conditions of composition) by the Chief Executive of the LTA, or any employee of the LTA with the concurrence (general or specific) of the Public Prosecutor. (2) On payment of the sum of money and on full compliance with the conditions of composition, no further proceedings are to be taken against that person in respect of the offence. (3) All sums collected under this section must be paid into the Consolidated Fund.


document_id: evca-2022
provision_ref: s82
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 82
title: Holding yards and follow-up after removal thereto
content:
82. —(1) After an EV charger is moved or removed to a holding yard under section 74(2), 75(1) or 78(4) by an authorised officer, the authorised officer must as soon as practicable give notice of the move or removal to — ( a ) the owner of the EV charger; and ( b ) where the EV charger was being supplied or used to provide EV charging services or to undertake any other regulated activity — on the person supplying the EV charger or providing the EV charging services or undertaking that other regulated activity, as the case may be. (2) An EV charger that is surrendered at a holding yard under section 74(2) or 75(1) or seized and taken or removed to a holding yard under section 74(2), 75(1) or 78(4), must be detained there until it is released by order of the LTA or disposed of in accordance with section 84. (3) A person who wilfully removes or causes to be removed an EV charger detained at a holding yard under subsection (2) from the holding yard without the order of the LTA shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $1,000 or to imprisonment for a term not exceeding 3 months or to both.


document_id: evca-2022
provision_ref: s83
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 83
title: Forfeiture of seized EV chargers
content:
83. —(1) Subject to this section, all EV chargers liable to seizure under the provisions of this Act are liable to forfeiture by a court. (2) An order for the forfeiture of an EV charger seized under this Act may instead be made by the LTA if it is satisfied that — ( a ) the EV charger is neither of a homologated model nor is a specially authorised EV charger; or ( b ) the EV charger was the subject matter, or was used in the commission, of an offence under section 18, 23, 24, 29, 30 or 39 or Part 5 and a person is convicted of, or has accepted a composition sum offered with respect to, the offence committed or allegedly committed.


document_id: evca-2022
provision_ref: s84
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 84
title: Disposal of forfeited EV chargers
content:
84. Where any EV charger is forfeited by the LTA under section 83, an authorised officer may, after giving one month’s notice in the Gazette of his or her intention to do so, destroy or otherwise dispose of the EV charger.


document_id: evca-2022
provision_ref: s85
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 85
title: Offences by corporations
content:
85. —(1) Where, in a proceeding for an offence under this Act, it is necessary to prove the state of mind of a corporation in relation to a particular conduct, evidence that — ( a ) an officer, employee or agent of the corporation engaged in that conduct within the scope of his or her actual or apparent authority; and ( b ) the officer, employee or agent had that state of mind, is evidence that the corporation had that state of mind. (2) Where a corporation commits an offence under this Act, a person — ( a ) who is — (i) an officer of the corporation; or (ii) an individual involved in the management of the corporation and in a position to influence the conduct of the corporation in relation to the commission of the offence; and ( b ) who — (i) consented or connived, or conspired with others, to effect the commission of the offence; (ii) is in any other way, whether by act or omission, knowingly concerned in, or is party to, the commission of the offence by the corporation; or (iii) knew or ought reasonably to have known that the offence by the corporation (or an offence of the same type) would be or is being committed, and failed to take all reasonable steps to prevent or stop the commission of that offence, shall be guilty of that same offence as is the corporation, and shall be liable on conviction to be punished accordingly. (3) A person mentioned in subsection (2) may rely on a defence that would be available to the corporation if it were charged with the offence with which the person is charged and, in doing so, the person bears the same burden of proof that the corporation would bear. (4) To avoid doubt, this section does not affect the application of — ( a ) Chapters 5 and 5A of the Penal Code 1871; or ( b ) the Evidence Act 1873 or any other law or practice regarding the admissibility of evidence. (5) To avoid doubt, subsection (2) also does not affect the liability of the corporation for an offence under this Act, and applies whether or not the corporation is convicted of the offence. (6) In this section — “corporation” includes a limited liability partnership; “officer”, in relation to a corporation, means any director, partner, chief executive, manager, secretary or other similar officer of the corporation, and includes — ( a ) any person purporting to act in any such capacity; and ( b ) for a corporation whose affairs are managed by its members, any of those members as if the member were a director of the corporation; “reasonable steps”, in relation to the commission of an offence, includes, but is not limited to, such action (if any) of the following kinds as is reasonable in all the circumstances: ( a ) action towards — (i) assessing the corporation’s compliance with the provision creating the offence; and (ii) ensuring that the corporation arranged regular professional assessments of its compliance with the provision; ( b ) action towards ensuring that the corporation’s employees, agents and contractors are provided with information, training, instruction and supervision appropriate to them to enable them to comply with the provision creating the offence so far as the provision is relevant to them; ( c ) action towards ensuring that — (i) the equipment and other resources; and (ii) the structures, work systems and other processes, relevant to compliance with the provision creating the offence are appropriate in all the circumstances; ( d ) action towards creating and maintaining a corporate culture that does not direct, encourage, tolerate or lead to non‑compliance with the provision creating the offence; “state of mind” of a person includes — ( a ) the knowledge, intention, opinion, belief or purpose of the person; and ( b ) the person’s reasons for the intention, opinion, belief or purpose. (7) The Minister may make rules to provide for the application of any provision of this section, with such modifications as the Minister considers appropriate, to any corporation formed or recognised under the law of a territory outside Singapore.


document_id: evca-2022
provision_ref: s86
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 86
title: Offences by unincorporated associations or partnerships
content:
86. —(1) Where, in a proceeding for an offence under this Act, it is necessary to prove the state of mind of an unincorporated association or a partnership in relation to a particular conduct, evidence that — ( a ) an employee or agent of the unincorporated association or partnership engaged in that conduct within the scope of his or her actual or apparent authority; and ( b ) the employee or agent had that state of mind, is evidence that the unincorporated association or partnership had that state of mind. (2) Where an unincorporated association or a partnership commits an offence under this Act, a person — ( a ) who is — (i) an officer of the unincorporated association or a member of its governing body; (ii) a partner in the partnership; or (iii) an individual involved in the management of the unincorporated association or partnership and in a position to influence the conduct of the unincorporated association or partnership (as the case may be) in relation to the commission of the offence; and ( b ) who — (i) consented or connived, or conspired with others, to effect the commission of the offence; (ii) is in any other way, whether by act or omission, knowingly concerned in, or is party to, the commission of the offence by the unincorporated association or partnership; or (iii) knew or ought reasonably to have known that the offence by the unincorporated association or partnership (or an offence of the same type) would be or is being committed, and failed to take all reasonable steps to prevent or stop the commission of that offence, shall be guilty of the same offence as is the unincorporated association or partnership (as the case may be), and shall be liable on conviction to be punished accordingly. (3) A person mentioned in subsection (2) may rely on a defence that would be available to the unincorporated association or partnership if it were charged with the offence with which the person is charged and, in doing so, the person bears the same burden of proof that the unincorporated association or partnership would bear. (4) To avoid doubt, this section does not affect the application of — ( a ) Chapters 5 and 5A of the Penal Code 1871; or ( b ) the Evidence Act 1873 or any other law or practice regarding the admissibility of evidence. (5) To avoid doubt, subsection (2) also does not affect the liability of an unincorporated association or a partnership for an offence under this Act, and applies whether or not the unincorporated association or partnership is convicted of the offence. (6) In this section — “officer”, in relation to an unincorporated association (other than a partnership), means the president, the secretary, or any member of the committee of the unincorporated association, and includes — ( a ) any person holding a position analogous to that of president, secretary or member of a committee of the unincorporated association; and ( b ) any person purporting to act in any such capacity; “partner” includes a person purporting to act as a partner; “reasonable steps” has the meaning given by section 85; “state of mind” of a person includes — ( a ) the knowledge, intention, opinion, belief or purpose of the person; and ( b ) the person’s reasons for the intention, opinion, belief or purpose. (7) The Minister may make rules to provide for the application of any provision of this section, with such modifications as the Minister considers appropriate, to any unincorporated association or partnership formed or recognised under the law of a territory outside Singapore.


document_id: evca-2022
provision_ref: s87
chapter: PART 10 - EVIDENCE AND ENFORCEMENT
section: 87
title: Jurisdiction of courts
content:
87. Despite the Criminal Procedure Code 2010, a District Court or a Magistrate’s Court has jurisdiction to try, and has power to impose the full punishment for, any offence under this Act.


document_id: evca-2022
provision_ref: s88
chapter: PART 11 - ADMINISTRATION
section: 88
title: Administration of Act by LTA
content:
88. —(1) It is the function of the LTA to administer this Act. (2) Despite anything in the Interpretation Act 1965, the Land Transport Authority of Singapore Act 1995 or any other law, the powers conferred or duties imposed upon the LTA by any provision of this Act are non‑delegable to the following: ( a ) a wholly‑owned subsidiary company of the LTA; ( b ) a person engaged as a contractor by the LTA. (3) No liability shall lie against an authorised officer, an outsourced enforcement officer, or a member, officer or employee of the LTA or any other person acting under the direction of the LTA for anything done or intended to be done in good faith and with reasonable care in the execution or purported execution of this Act.


document_id: evca-2022
provision_ref: s89
chapter: PART 11 - ADMINISTRATION
section: 89
title: Authorised officers
content:
89. —(1) The LTA may, in relation to any provision of this Act, appoint — ( a ) any of its employees; ( b ) any individual performing duties in the LTA under a secondment arrangement making available temporarily to the LTA the services of the individual; ( c ) any public officer; or ( d ) any employee of another public authority, to be an authorised officer for the purposes of that provision, either generally or in a particular case. (2) The LTA may delegate the exercise of all or any of the powers conferred or duties imposed upon the LTA by any provision of this Act, to any authorised officer, subject to any conditions or limitations that the LTA may specify; and any reference in that provision of this Act or its subsidiary legislation to the LTA includes a reference to such an authorised officer. (3) However, nothing in subsection (2) authorises delegating — ( a ) the power of delegation conferred by that subsection; or ( b ) any power of the LTA to make subsidiary legislation under this Act.


document_id: evca-2022
provision_ref: s90
chapter: PART 11 - ADMINISTRATION
section: 90
title: Recovery of fees and penalties
content:
90. —(1) The LTA may impose interest at the prescribed rate on any outstanding amount of — ( a ) any fee payable under section 43 for the grant or renewal of a licence; ( b ) any periodic fee payable under section 44; or ( c ) any financial penalty directed under section 53(2) or 54(2) to be paid. (2) The following may be recovered by the LTA in any court of competent jurisdiction as if they were simple contract debts: ( a ) any fee payable under section 43 for the grant or renewal of a licence; ( b ) any periodic fee payable under section 44; ( c ) any financial penalty directed under section 53(2) or 54(2) to be paid; ( d ) any interest mentioned in subsection (1).


document_id: evca-2022
provision_ref: s91
chapter: PART 12 - MISCELLANEOUS
section: 91
title: Application of Act
content:
91. —(1) This Act extends to any conduct outside Singapore, or partly inside or partly outside Singapore that results in — ( a ) the supply of EV chargers in Singapore; or ( b ) the provision of EV charging services, or the undertaking of any other regulated activity, in Singapore. (2) This Act does not apply to an advertisement relating to an EV charger unless the advertisement is published in Singapore. (3) This Act binds the Government, but nothing in this Act renders the Government liable to prosecution for an offence under this Act. (4) To avoid doubt, no person is immune from prosecution for any offence under this Act by reason only that the person is engaged to provide services to the Government or is acting in any other similar capacity for, or on behalf of, the Government.


document_id: evca-2022
provision_ref: s92
chapter: PART 12 - MISCELLANEOUS
section: 92
title: General power to exempt
content:
92. The Minister may, by order in the Gazette , exempt any person or class of persons from all or any of the provisions of this Act, either generally or in a particular case and subject to such conditions as the Minister may impose.


document_id: evca-2022
provision_ref: s93
chapter: PART 12 - MISCELLANEOUS
section: 93
title: Service of documents
content:
93. —(1) A document that is permitted or required by this Act to be served on a person may be served as described in this section. (2) A document permitted or required by this Act to be served on an individual may be served — ( a ) by giving it to the individual personally; ( b ) by sending it by post to the address specified by the individual for the service of documents or, if no address is so specified, the individual’s residential address or business address; ( c ) by leaving it at the individual’s residential address with an adult apparently resident there, or at the individual’s business address with an adult apparently employed there; ( d ) by affixing a copy of the document in a conspicuous place at the individual’s residential address or business address; ( e ) by sending it by fax to the fax number last known to the person giving or serving the document as the fax number for the service of documents on the individual; or ( f ) by sending it by email to the individual’s last email address. (3) A document permitted or required by this Act to be served on a partnership (other than a limited liability partnership) may be served — ( a ) by giving it to any partner, secretary or other similar officer of the partnership; ( b ) by leaving it at, or by sending it by post to, the partnership’s business address; ( c ) by sending it by fax to the fax number used at the partnership’s business address; or ( d ) by sending it by email to the partnership’s last email address. (4) A document permitted or required by this Act to be served on a body corporate (including a limited liability partnership) or an unincorporated association may be served — ( a ) by giving it to the secretary or other similar officer of the body corporate or unincorporated association, or the limited liability partnership’s manager; ( b ) by leaving it at, or by sending it by post to, the registered office or principal office in Singapore of the body corporate or unincorporated association; ( c ) by sending it by fax to the fax number used at the registered office or principal office in Singapore of the body corporate or unincorporated association; or ( d ) by sending it by email to the last email address of the body corporate or unincorporated association. (5) In addition, a document permitted or required by this Act to be served on an individual, a partnership, a body corporate or an unincorporated association may be served — ( a ) by giving an electronic notice to the individual, partnership, body corporate or unincorporated association (called in this section an addressee) by the addressee’s chosen means of notification, stating that the document is available and how the addressee may use the addressee’s chosen means of access to access the document’s contents; or ( b ) by any other method authorised by the Regulations for the service of documents of that kind if the addressee consents (expressly or impliedly) to service of a document of that kind in that way. (6) Service of a document takes effect — ( a ) if the document is sent by fax and a notification of successful transmission is received, on the day of transmission; ( b ) if the document is sent by email, at the time that the email becomes capable of being retrieved by the person to whom it is sent; or ( c ) if the document is sent by post, 2 days after the day the document was posted (even if it is returned undelivered). (7) However, service of any document under this Act on a person by email or by an electronic notice at the person’s chosen means of notification, may be effected only with the person’s prior consent (express or implied) to service in that way. (8) This section does not apply to documents to be served in proceedings in court. (9) In this section — “business address” means — ( a ) in the case of an individual, the individual’s usual or last known place of business in Singapore; or ( b ) in the case of a partnership (other than a limited liability partnership), the partnership’s principal or last known place of business in Singapore; “chosen means of access”, for an addressee on whom is or is to be served a document permitted or required by this Act, means an electronic means the addressee agrees with the person giving or serving the document as the means by which the addressee may access that document’s contents; “chosen means of notification”, for an addressee on whom is or is to be served a document permitted or required by this Act, means an electronic means that the addressee nominates to the person giving or serving the document as the means by which the addressee may be notified that such a document has been served on the addressee; “document” includes a notice or an order permitted or required by this Act to be served; “last email address” means the last email address given by the addressee concerned to the person giving or serving the document as the email address for the service of documents under this Act; “residential address” means an individual’s usual or last known place of residence in Singapore.


document_id: evca-2022
provision_ref: s94
chapter: PART 12 - MISCELLANEOUS
section: 94
title: Regulations
content:
94. —(1) The LTA may, with the approval of the Minister, make Regulations necessary or convenient to be prescribed for carrying out or giving effect to this Act. (2) In particular, the LTA may, with the approval of the Minister, make Regulations in respect of any of the following: ( a ) the form and manner in which, and the time within which, an application for the grant of any approval or licence may be made under this Act; ( b ) the carrying out of inquiries of applicants for any approval or licence under this Act; ( c ) the duties of licensees and registered responsible persons for EV chargers; ( d ) the individuals, by name, qualifications, occupation or employment, who are prescribed persons for certifying EV chargers as fit for charging any electric vehicle in Singapore; ( e ) the duties of an individual who is a prescribed competent person for certifying under section 23 an EV charger as fit for charging any electric vehicle in Singapore, or a prescribed person for installing fixed EV chargers under section 24; ( f ) the labelling or marking of EV chargers, including those used by a licensee to undertake a regulated activity; ( g ) classes of licences; ( h ) the carrying out of any installation or certification of an EV charger; ( i ) regulating the individuals who undertake work (including supervision) in connection with any installation or certification of an EV charger; ( j ) the fees to be paid in respect of applications for the grant of any approval or licence and otherwise in connection with the administration of this Act, and for the waiver, reduction or refund of fees charged; ( k ) the records that must be kept by licensees and by registered responsible persons for EV chargers and the provision of returns and other information in connection with a regulated activity, which may include audio and visual records. (3) Regulations made under this section may apply — ( a ) in respect of the conduct of all forms of regulated activities or particular categories of regulated activities; ( b ) in respect of all licensees or particular types of licensees; or ( c ) in respect of all EV chargers or particular types of EV chargers. (4) Regulations made under this section may — ( a ) create offences for a contravention of any provision of the Regulations, the penalty for which on conviction may be a fine not exceeding $5,000 or imprisonment for a term not exceeding 6 months or both; and ( b ) provide for such saving, transitional and other consequential, incidental and supplemental provisions as are necessary or expedient for the purposes of this Act.


document_id: evca-2022
provision_ref: s95
chapter: PART 12 - MISCELLANEOUS
section: 95
title: Incorporation by reference, etc.
content:
95. —(1) Any subsidiary legislation made under this Act may make provision for or in relation to a matter by applying, adopting or incorporating by reference, with or without modification, any matter contained in any code, standard, rule, requirement, specification or other document, as in force at a particular time or from time to time, which relates to any matter with which the Regulation deals, even if the code, standard, rule, requirement, specification or other document does not yet exist when the Regulation is made. (2) Material referred to in subsection (1) may be applied, adopted or incorporated by reference in any subsidiary legislation made under this Act — ( a ) in whole or in part; or ( b ) with modifications, additions or variations specified in the subsidiary legislation made under this Act. (3) A copy of any material applied, adopted or incorporated by reference in any subsidiary legislation made under this Act, including any amendment to, or replacement of, the material, must be — ( a ) certified as a correct copy of the material by the LTA; and ( b ) retained by the LTA. (4) Any material applied, adopted or incorporated in any subsidiary legislation made under this Act by reference under subsection (1) is to be treated for all purposes as forming part of the subsidiary legislation made under this Act; and, unless otherwise provided in the subsidiary legislation, every amendment to any material incorporated by reference under subsection (1) that is made by the person or organisation originating the material is, subject to subsections (5) and (6), to be treated as being a part of that subsidiary legislation made under this Act. (5) Where any material referred to in subsection (1) is applied, adopted or incorporated by reference in any subsidiary legislation made under this Act, the LTA must give notice in the Gazette stating — ( a ) that the material is incorporated in the subsidiary legislation and the date on which the relevant provision in the Regulation was made; ( b ) that the material is available for inspection during working hours, without charge; ( c ) the place where the material can be inspected; ( d ) that copies of the material can be purchased; ( e ) the place where copies of the material can be purchased; and ( f ) if copies of the material are available in other ways, the details of where or how the material can be accessed or obtained. (6) The LTA must cause a copy of every code, standard, requirement, rule or specification incorporated by reference under subsection (1) to be made available for inspection by members of the public without charge at the office of the LTA during normal office hours. (7) In this section, “modification” includes omissions, additions and substitutions.


document_id: evca-2022
provision_ref: s96
chapter: PART 12 - MISCELLANEOUS
section: 96
title: Presentation to Parliament
content:
96. All orders, rules and regulations made under this Act must be presented to Parliament as soon as possible after publication in the Gazette .


document_id: evca-2022
provision_ref: s97
chapter: PART 13 - AMENDMENTS TO OTHER ACTS AND
section: 97
title: Amendment of Building Maintenance and Strata Management Act 2004
content:
97. The Building Maintenance and Strata Management Act 2004 is amended — ( a ) by inserting, immediately before the definition of “immediate family member” in section 2(1), the following definition: “ “fixed EV charger” has the meaning given by section 2 of the Electric Vehicles Charging Act 2022; ”; ( b ) by deleting the words “subsection (3)” in section 29(1) and substituting the words “subsections (1A), (1B) and (3)”; ( c ) by inserting, immediately after subsection (1) of section 29, the following subsections: “ (1A) To avoid doubt, it is the duty of a management corporation to properly maintain and keep in a state of good and serviceable repair (including, where reasonably necessary, renew or replace) any fixed EV charger that is owned by the management corporation and installed in the common property. (1B) Subsection (1)( d ) does not apply to or in relation to any matter falling within section 34A(1). (1C) The installation of any fixed EV charger in the common property does not in itself make the fixed EV charger part of the common property. ”; ( d ) by inserting, immediately after subsection (3) of section 32, the following subsection: “ (3A) Despite subsection (3)( d ), any by‑law for the purpose of controlling and managing the use or enjoyment of any parking lot within the common property that has fixed EV chargers installed may be made, amended, added to or repealed by a management corporation pursuant to an ordinary resolution. ”; ( e ) by inserting, immediately after subsection (2) of section 34, the following subsection: “ (2A) Subsections (1) and (2) do not apply to or in relation to any matter falling within section 34A(1). ”; and ( f ) by inserting, immediately after section 34, the following section: “ Ordinary resolution for installation, etc., of fixed EV chargers in common property 34A. —(1) A management corporation may, subject to subsection (2) and the approval from the relevant authority, and pursuant to an ordinary resolution, execute on behalf of its subsidiary proprietors — ( a ) a lease of or rent, or licence of, any part of the common property to any person for the installation of a fixed EV charger, for a period that does not exceed 10 years and cannot be extended by exercise of any option of renewal to exceed an aggregate of 10 years; or ( b ) an agreement for the uninstallation of a fixed EV charger that is installed in any part of the common property under a lease, rent or licence mentioned in paragraph ( a ). (2) For the purpose of subsection (1), the management fund or sinking fund must not be used for the installation or uninstallation of any fixed EV charger in the common property. ”.


document_id: evca-2022
provision_ref: s98
chapter: PART 13 - AMENDMENTS TO OTHER ACTS AND
section: 98
title: Amendment of Electricity Act 2001
content:
98. Section 2(1) of the Electricity Act 2001 is amended — ( a ) by deleting the word “or” at the end of paragraph ( b ) of the definition of “electrical installation”; and ( b ) by inserting the word “or” at the end of paragraph ( c ) of the definition of “electrical installation”, and by inserting immediately thereafter the following paragraph: “ ( d ) an electric vehicle charger within the meaning of the Electric Vehicles Charging Act 2022; ”.


document_id: evca-2022
provision_ref: s99
chapter: PART 13 - AMENDMENTS TO OTHER ACTS AND
section: 99
title: Amendment of Land Transport Authority of Singapore Act 1995
content:
99. The Land Transport Authority of Singapore Act 1995 is amended — ( a ) by inserting, immediately after paragraph ( fa ) of section 6(1), the following paragraph: “ ( fb ) to regulate the supply of electric vehicle chargers, the provision of electric vehicle charging services and the operation of charging stations under the Electric Vehicles Charging Act 2022; ”; ( b ) by deleting the word “and” at the end of section 6(1)( r )(vii); ( c ) by inserting the word “and” at the end of sub‑paragraph (viii) of section 6(1)( r ), and by inserting immediately thereafter the following sub‑paragraph: “ (ix) all composition sums and financial penalties under the Electric Vehicles Charging Act 2022; ”; ( d ) by deleting the full‑stop at the end of sub‑paragraph ( c ) of paragraph 16 of the Second Schedule and substituting a semi‑colon, and by inserting immediately thereafter the following sub‑paragraph: “ ( d ) a licence under the Electric Vehicles Charging Act 2022. ”; ( e ) by inserting, immediately after paragraph 21 of the Second Schedule, the following paragraph: “ 22. All fees and charges prescribed under the Electric Vehicles Charging Act 2022. ”; and ( f ) by inserting, immediately after item 7 of Part 2 of the Fifth Schedule, the following item: “ 8. All provisions of the Electric Vehicles Charging Act 2022 and any subsidiary legislation made under that Act for the purposes of that Act. ”.


document_id: evca-2022
provision_ref: s100
chapter: PART 13 - AMENDMENTS TO OTHER ACTS AND
section: 100
title: Saving and transitional provisions
content:
100. —(1) The Schedule has effect. (2) For a period of 2 years after the date of commencement of this section, the Minister may, by order in the Gazette , amend the Schedule by prescribing such additional provisions of a saving or transitional nature consequent on the enactment of this section as the Minister may consider necessary or expedient. (3) Nothing in this section or the Schedule affects section 16 of the Interpretation Act 1965.


document_id: fa-1889
provision_ref: s1
section: 1
title: Interpretation
content:
1. —(1) For the purposes of this Act — “document of title” includes any bill of lading, dock warrant, warehouse-keeper’s certificate, and warrant or order for the delivery of goods, and any other document used in the ordinary course of business as proof of the possession or control of goods, or authorising or purporting to authorise, either by endorsement or by delivery, the possessor of the document to transfer or receive goods thereby represented; “goods” includes wares and merchandise; “mercantile agent” means a mercantile agent having in the customary course of his business as such agent authority either to sell goods, or to consign goods for the purpose of sale, or to buy goods, or to raise money on the security of goods; “person” includes any body of persons corporate or unincorporate; “pledge” includes any contract pledging, or giving a lien or security on, goods, whether in consideration of an original advance or of any further or continuing advance or of any pecuniary liability. (2) A person shall be deemed to be in possession of goods or of the documents of title to goods, where the goods or documents are in the person’s actual custody or are held by any other person subject to his control or for him or on his behalf.


document_id: fa-1889
provision_ref: s2
section: 2
title: Powers of mercantile agent with respect to disposition of goods
content:
2. —(1) Where a mercantile agent is, with the consent of the owner, in possession of goods or of the documents of title to goods, any sale, pledge, or other disposition of the goods, made by him when acting in the ordinary course of business of a mercantile agent, shall, subject to the provisions of this Act, be as valid as if he were expressly authorised by the owner of the goods to make the same: Provided that the person taking under the disposition acts in good faith, and has not at the time of the disposition notice that the person making the disposition has no authority to make the same. (2) Where a mercantile agent has, with the consent of the owner, been in possession of goods or of the documents of title to goods, any sale, pledge, or other disposition, which would have been valid if the consent had continued, shall be valid notwithstanding the determination of the consent: Provided that the person taking under the disposition has not at the time thereof notice that the consent has been determined. (3) Where a mercantile agent has obtained possession of any documents of title to goods by reason of his being or having been, with the consent of the owner, in possession of the goods represented thereby, or of any other documents of title to the goods, his possession of the first-mentioned documents shall, for the purposes of this Act, be deemed to be with the consent of the owner. (4) For the purposes of this Act, the consent of the owner shall be presumed in the absence of evidence to the contrary.


document_id: fa-1889
provision_ref: s4
section: 4
title: Pledge for antecedent debt
content:
4. Where a mercantile agent pledges goods as security for a debt or liability due from the pledgor to the pledgee before the time of the pledge, the pledgee shall acquire no further right to the goods than could have been enforced by the pledgor at the time of the pledge.


document_id: fa-1889
provision_ref: s5
section: 5
title: Rights acquired by exchange of goods or documents
content:
5. The consideration necessary for the validity of a sale, pledge, or other disposition of goods, in pursuance of this Act, may be either a payment in cash, or the delivery or transfer of other goods, or of a document of title to goods, or of a negotiable security, or any other valuable consideration; but where goods are pledged by a mercantile agent in consideration of the delivery or transfer of other goods, or of a document of title to goods, or of a negotiable security, the pledgee shall acquire no right or interest in the goods so pledged in excess of the value of the goods, documents, or security when so delivered or transferred in exchange.


document_id: fa-1889
provision_ref: s6
section: 6
title: Agreements through clerks, etc.
content:
6. For the purposes of this Act, an agreement made with a mercantile agent through a clerk or other person authorised in the ordinary course of business to make contracts of sale or pledge on his behalf shall be deemed to be an agreement with the agent.


document_id: fa-1889
provision_ref: s7
section: 7
title: Provisions as to consignors and consignees
content:
7. —(1) Where the owner of goods has given possession of the goods to another person for the purpose of consignment or sale, or has shipped the goods in the name of another person, and the consignee of the goods has not had notice that such person is not the owner of the goods, the consignee shall, in respect of advances made to or for the use of such person, have the same lien on the goods as if such person were the owner of the goods, and may transfer any such lien to another person. (2) Nothing in this section shall limit or affect the validity of any sale, pledge, or disposition, by a mercantile agent.


document_id: fa-1889
provision_ref: s8
section: 8
title: Disposition by seller remaining in possession
content:
8. Where a person, having sold goods, continues, or is, in possession of the goods or of the documents of title to the goods, the delivery or transfer by that person, or by a mercantile agent acting for him, of the goods or documents of title under any sale, pledge, or other disposition thereof, or under any agreement for sale, pledge, or other disposition thereof, to any person receiving the same in good faith and without notice of the previous sale, shall have the same effect as if the person making the delivery or transfer were expressly authorised by the owner of the goods to make the same.


document_id: fa-1889
provision_ref: s9
section: 9
title: Disposition by buyer obtaining possession
content:
9. Where a person, having bought or agreed to buy goods, obtains with the consent of the seller possession of the goods or the documents of title to the goods, the delivery or transfer, by that person or by a mercantile agent acting for him, of the goods or documents of title under any sale, pledge, or other disposition thereof, or under any agreement for sale, pledge, or other disposition thereof, to any person receiving the same in good faith and without notice of any lien or other right of the original seller in respect of the goods, shall have the same effect as if the person making the delivery or transfer were a mercantile agent in possession of the goods or documents of title with the consent of the owner.


document_id: fa-1889
provision_ref: s10
section: 10
title: Effect of transfer of documents on vendor’s lien or right of stoppage in transitu
content:
10. Where a document of title to goods has been lawfully transferred to a person as a buyer or owner of the goods, and that person transfers the document to a person who takes the document in good faith and for valuable consideration, the last-mentioned transfer shall have the same effect for defeating any vendor’s lien or right of stoppage in transitu as the transfer of a bill of lading has for defeating the right of stoppage in transitu.


document_id: fa-1889
provision_ref: s11
section: 11
title: Mode of transferring documents
content:
11. For the purposes of this Act, the transfer of a document may be by endorsement, or, where the document is by custom or by its express terms transferable by delivery or makes the goods deliverable to the bearer, then by delivery.


document_id: fa-1889
provision_ref: s12
section: 12
title: Saving for rights of true owner
content:
12. —(1) Nothing in this Act shall authorise an agent to exceed or depart from his authority as between himself and his principal, or exempt him from any liability, civil or criminal, for so doing. (2) Nothing in this Act shall prevent the owner of goods from recovering the goods from any agent or his trustee in bankruptcy at any time before the sale or pledge thereof, or shall prevent the owner of goods pledged by any agent from having the right to redeem the goods at any time before the sale thereof, on satisfying the claim for which the goods were pledged, and paying to the agent, if by him required, any money in respect of which the agent would by law be entitled to retain the goods or the documents of title thereto, or any of them, by way of lien as against the owner, or from recovering from any person with whom the goods have been pledged any balance of money remaining in his hands as the produce of the sale of the goods after deducting the amount of his lien. (3) Nothing in this Act shall prevent the owner of goods sold by an agent from recovering from the buyer the price agreed to be paid for the same, or any part of that price, subject to any right of set off on the part of the buyer against the agent.


document_id: fa-1889
provision_ref: s13
section: 13
title: Saving for common law powers of agent
content:
13. The provisions of this Act shall be construed in amplification and not in derogation of the powers exercisable by an agent independently of this Act.


document_id: fa-1920
provision_ref: s2
section: 2
title: Interpretation
content:
2. In this Act — “lands” includes messuages, lands, tenements and hereditaments of any tenure; “port” means any port or place declared to be a port under the Maritime and Port Authority of Singapore Act 1996, and includes all such navigable rivers and channels leading thereto as are declared to be part thereof; “works” means any of the works and things mentioned in section 4. [7/96] 3. [ Repealed by Act 16 of 2016 ]


document_id: fa-1920
provision_ref: s4
section: 4
title: Authority for Government to construct works and to reclaim foreshore or seabed
content:
4. —(1) The Government may — ( a ) construct quays, wharves, jetties or other public works along or out from the foreshore of Singapore or in the seabed adjacent thereto; ( b ) dredge the seabed; and ( c ) erect buildings upon any areas of land reclaimed from the sea in accordance with subsection (2). (2) The Government may, subject to the approval of Parliament, reclaim any part of the foreshore or seabed of Singapore: Provided that where the part of foreshore or seabed to be reclaimed does not exceed 8 hectares or, if the whole of that part is within port limits, 4 hectares, the approval of Parliament shall not be required and the Minister may authorise such reclamation.


document_id: fa-1920
provision_ref: s5
section: 5
title: Declaration regarding reclaimed lands
content:
5. —(1) The President may, by proclamation published in the Gazette , declare any lands formed by the reclamation of any part of the foreshore of Singapore, or any areas of land reclaimed from the sea to be State land, and thereupon that land shall immediately vest in the State freed and discharged from all public and private rights which may have existed or been claimed over the foreshore or the seabed before the same were so reclaimed. (2) All land declared to be State land under this section shall be subject to the State Lands Act 1920.


document_id: fa-1920
provision_ref: s6
section: 6
title: Except as provided, no action to be brought in respect of any damage
content:
6. Except as provided by this Act, no person shall be entitled to claim, and no action or proceeding shall be brought, against the Government to recover any compensation in respect of any lands or of any interest therein which have been injuriously affected by the execution of the works.


document_id: fa-1920
provision_ref: s7
section: 7
title: No right to compensation
content:
7. —(1) There shall, subject to subsection (2), be no right to compensation in respect of any lands or of any interest therein which may be injuriously affected whether on account of loss of sea frontage or for any other reason by the execution of the works. (2) Any person, whose property has been damaged by the execution of the works, may appeal to the Minister, whose decision shall be final. (3) The Minister may, in his discretion, in the case of an appeal, after inquiry by an officer appointed by him for the purpose — ( a ) authorise the payment of such sum as he may determine; or ( b ) direct the execution by the appropriate authority of such repairs as are necessary in the circumstances.


document_id: fa-1920
provision_ref: s8
section: 8
title: Validation of former grants
content:
8. Where any lease or grant was, before 25 January 1901, made by the Governor of any land being part of the foreshore or seabed within the territorial waters of Singapore, and before that date the land had been reclaimed or wharves, docks, landing stages or other works or buildings had been erected thereon, the lease or grant shall be deemed to be a valid conveyance and to have conveyed the foreshore or seabed, thereby expressed to be demised or granted, free and discharged from all public rights which had existed or been claimed over that foreshore or seabed before the making of the grant or lease.


document_id: fa-1920
provision_ref: s9
section: 9
title: Power to let foreshore and seabed in future
content:
9. —(1) The President may make such leases of the foreshore and seabed in Singapore or in any tidal river or channel therein as are declared by the President not to create a substantial infringement of public rights. (2) The term for which any such lease is granted shall not exceed 100 years except in special cases. Preliminary procedure (3) Before any such declaration is made by the President the substance of any such lease with a sufficient description of the property intended to be demised shall be published in the Gazette , together with a notice requiring all persons having objections to the granting of such a lease to send in their objections in writing to the Minister before the expiration of 3 weeks from the date of the publication in the Gazette , and all these objections shall be considered by the President. Effect of leases under this Act. Covenants and provisos to be contained therein (4) Every such lease shall specify the purposes for which the land is required and shall be deemed to convey to the lessee the foreshore or seabed, expressed to be thereby demised, free and discharged from all public rights and privileges which have existed or may be claimed in or over that foreshore and seabed so far as is necessary for carrying out those purposes and shall contain — ( a ) a proviso that in the event of the lessees, their executors, administrators and assigns or successors, as the case may be, failing at any time during the continuance of the term of the lease to use the demised land for the purposes so specified, then a Collector of Land Revenue or any officer authorised by him in writing may on behalf of the State re‑enter on that land, foreshore or seabed, or on any portion thereof in the name of the whole and thereupon the same shall be forfeited to and vest in the State; and Saving of rights of State ( b ) a reservation to the State of all mines and minerals under the demised lands and such covenants as to the working of those mines and minerals as the President in each case approves. (5) For the purposes of this section, “minerals” includes corals, stone, clay, sand, gravel, and other natural deposits, brine, petroleum and any other mineral oil or relative hydrocarbon, and natural gas.


document_id: fa-1920
provision_ref: s10
section: 10
title: Power to grant temporary occupation licences of foreshore and seabed
content:
10. —(1) It shall be lawful to grant licences for the temporary occupation for any period not exceeding one year of the foreshore and seabed in Singapore or in any tidal river or channel therein. (2) The power to grant such licences shall be exercisable by the Commissioner of Lands or by a Collector of Land Revenue deputed by him in that behalf, and all such licences shall be in all respects subject, with the necessary verbal variations, to the rules applicable from time to time to licences granted under the provisions of the State Lands Act 1920 for the temporary occupation of State land: Provided that no licence granted under this section shall be renewed if it is made to appear to the Minister that the licence creates a substantial infringement of public rights.


document_id: fa-1920
provision_ref: s11
section: 11
title: President may farm right of using beaches, etc.
content:
11. —(1) The President may rent or farm, either in one or several lots by public sale or by public tender with such limitations and restrictions as to the charges to be made by the renter or farmer, as to the President seems fit, the use of the beaches and banks of the sea. (2) Rents agreed to be paid under this section shall be recoverable as Government debts. How farmer may recover rents (3) If the right of using the beaches and banks of the sea is granted by the President to farm either for the whole of Singapore or for particular parts or places in Singapore, the farmer shall be entitled to recover payment from the tenant or person using the rights granted to the farmer in a suit by the farmer against that tenant or person for money payable by the defendant to the farmer for the use of the farmer’s rights, describing the extent of the same as agreed on between the parties. (4) No such farmer shall recover a larger sum than that specially agreed on between him and the tenant nor a larger sum than that permitted in the grant by the President to be charged by the farmer.


document_id: fa-1920
provision_ref: s12
section: 12
title: Saving as to foreshore rights
content:
12. Nothing in this Act shall be deemed to be in derogation of any of the powers or rights of the Government in respect of the foreshore or territorial waters in Singapore, nor shall anything in this Act be deemed to affect any right or claim as between lessees and their sublessees or tenants between themselves.


document_id: fa-1966
provision_ref: s2
chapter: PART 1 - PRELIMINARY
section: 2
title: Interpretation
content:
2. In this Act, unless the context otherwise requires — “Agency” means the Singapore Food Agency established by the Singapore Food Agency Act 2019; “authorised officer” means any person appointed by the Director‑General to be an authorised officer under section 3(2); “Director-General” means the Director‑General, Food Administration appointed under section 3(1) of the Sale of Food Act 1973; “estuarine waters” means waters extending from the mouth of a river to the uppermost point upstream penetrated by sea water at the highest tide of the year and references to estuarine fishing and estuarine fisheries shall be construed accordingly; “fish” includes any of the varieties of marine, brackish water or fresh water fishes, crustacea, aquatic mollusca, turtles, marine sponges, trepang and any other form of aquatic life and the young and eggs thereof; “fish culturist” means any person culturing or cultivating fish for profit and includes fish pond operators and aquarists; “fish dealer” includes any person engaged in buying (except for personal consumption), selling, exposing for sale, consigning or exhibiting fish, whether living, fresh or processed, in any manner, or any person engaged in processing fish; “fish pond” means any enclosed area of water whether fresh or otherwise, which is used or intended for use in the cultivation, storage or capture of fish, and includes estuarine prawn ponds; “fishing stakes” means any device used for the capture of fish which is made up of poles or other supports permanently fixed into the ground and enclosed by ramie, rattan, wire or other screening material, so designed as to lead fish into the enclosures, or any device using a net or other screening material that is anchored permanently or impermanently; “fishing vessel” includes any ship or boat or any other description of vessel used for fishing or the transport of fish or fishing materials; “inland waters” means any rivers, streams, lakes, ponds and other waters, whether private or otherwise, other than maritime and estuarine waters and references to inland fishing and inland fisheries shall be construed accordingly; “maritime waters” means that part of the seas adjacent to Singapore, both within and outside territorial waters, whether or not citizens of Singapore have by international law the exclusive right of fishing therein; and where that part is defined by the terms of any convention, treaty or arrangement between Singapore and any other country includes the part so defined and references to maritime fishing and maritime fisheries shall be construed accordingly; “master” includes every person, except a pilot, having command or charge of any vessel; “processed fish” means fish that has been cured, cooked, frozen or preserved in any manner and includes any product derived or manufactured wholly or partly from fish, and reference to “processing fish” shall be construed accordingly. [11/2019]


document_id: fa-1966
provision_ref: s3
chapter: PART 2 - ADMINISTRATION
section: 3
title: Administration of Act and appointment of authorised officer, etc.
content:
3. —(1) The Director‑General shall be responsible for the administration of this Act, subject to the general or special directions of the Minister. (2) The Director‑General may in writing appoint any public officer or any officer of the Agency or any other statutory authority, or an auxiliary police officer appointed under the Police Force Act 2004, to be an authorised officer for the purposes of this Act. [11/2019] (3) The Director‑General may delegate all or any of the powers conferred or duties imposed upon him by this Act (except the power of delegation conferred by this subsection) to any authorised officer. [11/2019] (4) The Director‑General may, for any reason that appears to the Director‑General to be sufficient, at any time revoke a person’s appointment as an authorised officer. [11/2019] (5) An auxiliary police officer who is appointed as an authorised officer under subsection (2) does not, by virtue only of the appointment, become an employee or agent of the Agency. [11/2019]


document_id: fa-1966
provision_ref: s4
chapter: PART 2 - ADMINISTRATION
section: 4
title: Public servants
content:
4. All officers appointed under the provisions of this Act shall be deemed to be public servants for the purposes of the Penal Code 1871.


document_id: fa-1966
provision_ref: s5
chapter: PART 2 - ADMINISTRATION
section: 5
title: Identification card to be produced
content:
5. —(1) Every authorised officer when exercising any powers under this Act shall — ( a ) if not in uniform, declare his office; and ( b ) on demand, produce to any person affected by the exercise of those powers such identification card as the Director‑General may direct to be carried by the authorised officers. (2) It shall not be an offence for any person to refuse to comply with any request, demand or order made or given by any authorised officer, or by any police officer not in uniform, who fails to declare his office and refuses to produce his identification card on demand being made by that person.


document_id: fa-1966
provision_ref: s6
chapter: PART 3 - LICENCES
section: 6
title: Licences
content:
6. —(1) The Director‑General may, subject to the provisions of this Act, issue to any person a licence, on such terms and conditions as the Director‑General may specify exempting him from any prohibition or obligation imposed by the provisions of this Act. (2) The Director‑General may — ( a ) refuse to issue a licence under this section; ( b ) vary or impose additional conditions; or ( c ) revoke any licence already issued. (3) Any person aggrieved by such a refusal, variation or revocation may appeal to the Minister whose decision shall be final. (4) No action or proceeding shall be maintainable in any court of law in respect of such a refusal, variation or revocation.


document_id: fa-1966
provision_ref: s7
chapter: PART 3 - LICENCES
section: 7
title: Validity of licences
content:
7. —(1) Any licence issued under this Act shall be valid only for the period, place or purpose specified in the licence. (2) Every licence issued under this Act shall expire on 31 December of the year in which it is issued, unless the contrary is stated in the licence. (3) Licences issued under this Act shall not be transferable.


document_id: fa-1966
provision_ref: s8
chapter: PART 3 - LICENCES
section: 8
title: Partners
content:
8. —(1) Two or more persons carrying on business in partnership shall not be required to obtain more than one licence under this Act in respect of that partnership. (2) In the case of a licence issued under this Act in respect of a partnership, the names of all the partners, and, from time to time, the names of new partners, shall be disclosed to and approved by the Director-General. (3) If the names under subsection (2) are approved by the Director‑General, they shall be entered in the licence. (4) A licence issued to 2 or more persons shall not expire upon the death or retirement from business of any one or more of the partners.


document_id: fa-1966
provision_ref: s9
chapter: PART 4 - OFFENCES
section: 9
title: Wilful damage to fishing implements
content:
9. Any person who wilfully damages or destroys fishing stakes, nets, lures or fishing implements shall be guilty of an offence.


document_id: fa-1966
provision_ref: s10
chapter: PART 4 - OFFENCES
section: 10
title: Prohibition on use of poisons or explosives
content:
10. —(1) Any person who, except under the authority of a licence issued under this Act, uses any poisonous or explosive substance with intent to stupefy, poison or kill fish shall be guilty of an offence. (2) Any person who is found in possession of fish which have been captured with the aid of any poisonous or explosive substance and does not give a satisfactory account as to how he came to be in possession thereof shall be guilty of an offence. (3) When any poisonous or explosive substance by which fish can be stupefied, poisoned or killed is found in the possession or control of any person in the neighbourhood of any waters shortly after the use of such a substance in the waters, the person shall be presumed until the contrary is proved to have made use of the substance for those purposes. (4) Any person in a fishing boat who is found to be in possession or control of any poisonous or explosive substance without a licence shall be guilty of an offence.


document_id: fa-1966
provision_ref: s11
chapter: PART 4 - OFFENCES
section: 11
title: Landing or selling fish illegally caught
content:
11. Any person who lands or sells fish caught by methods prohibited, or within areas prohibited, by this Act shall be guilty of an offence.


document_id: fa-1966
provision_ref: s12
chapter: PART 4 - OFFENCES
section: 12
title: Use of trawl-nets
content:
12. —(1) No person shall use, operate or assist in the operation of a trawl-net in the territorial waters of Singapore. (2) Any person who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to imprisonment for a presumptive minimum term of not less than 3 months and not exceeding 3 years. [15/2019] (3) Where it is proved to the satisfaction of a court that any vessel, net, instrument or appliance has been — ( a ) used in the commission of an offence under subsection (1); and ( b ) seized by an authorised officer or police officer, the court shall, on the written application of the Public Prosecutor, make an order for the forfeiture of the vessel, net, instrument or appliance, notwithstanding that no person may have been convicted of the offence.


document_id: fa-1966
provision_ref: s13
chapter: PART 4 - OFFENCES
section: 13
title: Penalties
content:
13. —(1) Any person who commits an offence under this Act shall be liable, if no special penalty is provided, on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. (2) Any person who — ( a ) does or attempts to do or causes or permits to be done or abets an act contrary to, or fails to comply with, the provisions of this Act; or ( b ) is in breach of the restrictions or conditions subject to which any licence has been issued, shall be guilty of an offence and shall be liable on conviction, if no special penalty is provided, to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. (3) Where an offence is continued after conviction, there shall be payable by the offender for every day during which the offence continues a fine not exceeding $50, and where the offence continues for a period exceeding 10 days after conviction the offender shall be liable to a term of imprisonment not exceeding 6 months.


document_id: fa-1966
provision_ref: s14
chapter: PART 4 - OFFENCES
section: 14
title: Forfeiture
content:
14. Any vessel, vehicle, fishing stake, net, instrument or appliance used in the commission of any offence under this Act and any fish caught or found, or any processed fish found in contravention of the provisions of this Act may be forfeited to the Director‑General and, if so forfeited, shall be disposed of in such manner as the Director‑General may direct.


document_id: fa-1966
provision_ref: s15
chapter: PART 4 - OFFENCES
section: 15
title: Sale of fish pending result of prosecution
content:
15. —(1) Any fish seized by an authorised officer or police officer in accordance with the provisions of this Act may be sold immediately. (2) The proceeds of sale under subsection (1) shall be held to abide the result of any prosecution or claim. (3) Where there is no prosecution or claim, the proceeds of sale shall be paid to the person from whom the fish was seized and if that person cannot be ascertained, the proceeds of sale shall be paid to the Agency. [11/2019]


document_id: fa-1966
provision_ref: s16
chapter: PART 4 - OFFENCES
section: 16
title: Confiscation of vessel, etc.
content:
16. —(1) A Magistrate may order the confiscation of any vessel, vehicle, fishing stake, net, instrument or appliance used in the commission of any offence. (2) A Magistrate may order the removal and destruction of any offending fishing stakes or part thereof, and any costs incurred in effecting their removal and destruction shall be borne by the owner of the fishing stakes.


document_id: fa-1966
provision_ref: s17
chapter: PART 4 - OFFENCES
section: 17
title: Responsibility of partners
content:
17. When a licence is granted to 2 or more persons carrying on business in partnership, each of them shall be liable for any act or omission of the other or others unless he proves to the satisfaction of the court that he had no knowledge of, or that he in no way directly or indirectly contributed to, the commission of the act or the making of the omission by the other or others.


document_id: fa-1966
provision_ref: s18
chapter: PART 4 - OFFENCES
section: 18
title: Composition of offences
content:
18. —(1) The Director‑General may, in his discretion, compound any offence under this Act which is prescribed as a compoundable offence by collecting from a person reasonably suspected of having committed the offence a sum not exceeding $1,000. (2) The Minister may make rules to prescribe the offences which may be compounded. (3) On payment of such sum of money, no further proceedings are to be taken against that person in respect of the offence. [11/2019] (4) All composition sums collected under this section must be paid into the Consolidated Fund. [11/2019]


document_id: fa-1966
provision_ref: s19
chapter: PART 4 - OFFENCES
section: 19
title: Offence committed by employee
content:
19. Where an offence under this Act is committed by an employee, the employer, in the course of whose employment the employee was at the time of committing the offence, shall also be guilty of the offence unless the employer proves to the satisfaction of the court — ( a ) that he used diligence to secure compliance with this Act; and ( b ) that the offence was committed without his knowledge, consent or connivance.


document_id: fa-1966
provision_ref: s20
chapter: PART 4 - OFFENCES
section: 20
title: Offences committed by body corporate, etc.
content:
20. Where an offence under this Act has been committed by a body corporate, a partnership or an unincorporated association of persons, any person who, at the time of the commission of the offence, was a director, manager, partner, secretary or other similar officer thereof, or who was purporting to act in any such capacity, shall also be guilty of that offence and shall be liable to be proceeded against and punished accordingly unless he proves — ( a ) that the offence was committed without his knowledge, consent or connivance; and ( b ) that he had exercised all such diligence to prevent the commission of the offence as he ought to have exercised having regard to the nature of his functions in that capacity and to all the circumstances.


document_id: fa-1966
provision_ref: s21
chapter: PART 4 - OFFENCES
section: 21
title: Jurisdiction of court
content:
21. Notwithstanding any provision to the contrary in the Criminal Procedure Code 2010, a District Court and a Magistrate’s Court shall have jurisdiction to try any offence under this Act and shall have power to impose the full penalty or punishment in respect of any offence under this Act.


document_id: fa-1966
provision_ref: s22
chapter: PART 4 - OFFENCES
section: 22
title: Jurisdiction of court to try offences committed outside territorial waters
content:
22. Notwithstanding the provisions of any written law to the contrary, any offence under this Act (other than subsidiary legislation made thereunder) committed outside the territorial waters of Singapore by — ( a ) citizens of Singapore; ( b ) persons ordinarily resident in Singapore; or ( c ) the crew or owners of fishing vessels registered in Singapore whether or not the crew or owners are citizens of Singapore or resident in Singapore, shall be triable in any court in Singapore as if the offence had been committed in Singapore.


document_id: fa-1966
provision_ref: s23
chapter: PART 5 - MISCELLANEOUS
section: 23
title: Powers of officers
content:
23. —(1) Any authorised officer or police officer may without warrant — ( a ) stop, search and detain any vessel or vehicle which he has reason to believe is being used for fishing or carrying fish or fishing materials contrary to the provisions of this Act and may seize that vessel or vehicle and any engine, fish, processed fish, fishing nets, instruments, fishing materials or other appliances found therein; ( b ) search and examine any fishing stakes, nets, instruments, fishing materials or other appliances used in catching fish and effect the removal and destruction of any unlicensed fishing stakes; ( c ) search, examine and investigate into the operation of any fish ponds; ( d ) arrest any person found committing or attempting to commit or abetting the commission of an offence under this Act; and ( e ) enter and search any place or premises in which he reasonably suspects that there is to be found any fish or fishing materials contrary to the provisions of this Act and may seize, remove or detain at the risk of the owner any engine, fish, processed fish, fishing nets, instruments, fishing materials or other appliances found in such place or premises. (2) For the purpose of exercising his power under this Act, any authorised officer or police officer may, with such assistance as he thinks necessary, break open any door, window, lock, fastener, compartment, box, container or other thing.


document_id: fa-1966
provision_ref: s24
chapter: PART 5 - MISCELLANEOUS
section: 24
title: Service of documents
content:
24. —(1) Where for the purposes of this Act any document is to be served on any person, that document may be served — ( a ) by delivering a copy thereof personally to the person to be served; ( b ) if the document is to be served on the master of a vessel, by leaving it for him on board that vessel with the person who is or appears to be in command or charge of the vessel; ( c ) by fixing a copy of the document to any conspicuous part of his house or his business premises; or ( d ) by registered letter to his last place of residence. (2) A document which is to be served on the master of a fishing vessel licensed under the provisions of the rules made under this Act may — ( a ) if the master cannot be found, be served on the managing owner of the vessel; ( b ) if there is no managing owner, be served on some agent of the owner residing in Singapore; or ( c ) where no such agent is known, be served by affixing a copy thereof to the mast of the vessel.


document_id: fa-1966
provision_ref: s25
chapter: PART 5 - MISCELLANEOUS
section: 25
title: Exemption
content:
25. —(1) The Director‑General may, with the approval of the Minister, exempt from the provisions of this Act, either absolutely or conditionally — ( a ) any person attached to a scientific institution who fishes only for the purposes of scientific research; or ( b ) any person who fishes for personal consumption. (2) The Director‑General may, with the approval of the Minister, exempt any person from payment of or reduce the fees for any licence issued or for any service performed under this Act.


document_id: fa-1966
provision_ref: s26
chapter: PART 5 - MISCELLANEOUS
section: 26
title: Fees, etc., payable to Agency
content:
26. All fees, charges and moneys collected under this Act or any rules made thereunder (except composition sums) must be paid to the Agency. [11/2019]


document_id: fa-1966
provision_ref: s27
chapter: PART 5 - MISCELLANEOUS
section: 27
title: Rules
content:
27. —(1) The Minister may make rules for the purpose of carrying out the provisions of this Act. (2) Without prejudice to the generality of subsection (1), rules may be made — ( a ) to regulate or prohibit the erection, maintenance, working, repair or lighting of fishing stakes in maritime and estuarine waters; ( b ) to regulate or prohibit any method of fishing or the use of any fish traps or fishing nets; ( c ) to provide for the licensing, control, supervision and protection of any fishery and of the cultivation of fish or any particular species of fish; ( d ) to set out requirements and procedures for document control and recording by any fishery or persons involved in the cultivation of fish so as to monitor the supply of fish in Singapore for human consumption, including — (i) the information that must be collected about the fish or a particular species of fish; (ii) the periods for which the information must be kept; and (iii) how, when and to whom that information must be reported; ( e ) to prescribe the species or the minimum weights and sizes of fish which may be cultured, captured or taken for the purposes of sale, processing, consumption, consignment, rearing or sport; ( f ) to prescribe the mesh size and sizes of nets which may be used for the capture of any particular species of fish or for any method of fishing; ( g ) to prescribe and control the types, dimensions and specifications of vessels which may be used for the capture of any particular species of fish or for any method of fishing; ( h ) to prescribe the areas and the periods of time in the year within which any particular species or size of fish may be killed or captured or any particular method of fishing is prohibited or restricted; ( i ) to prohibit, except in accordance with the terms and conditions of a licence, the killing or capture of fish or any particular species or size of fish in any specified area; ( j ) to require the supply by any person concerned in the capture of fish or by any fish culturist or fish dealer of such information as may be necessary to determine the measures to be taken to improve the fishing industry and trade or for the compilation of fishery statistics; ( k ) to prescribe areas where fish may be landed; ( l ) to regulate and control the landing, collection, transportation, marketing and distribution of fish and to appoint any person, organisation or board as may be necessary to effect such regulation and control; ( m ) to prescribe and control areas which may be used as fishing ports or harbours or areas where fishing vessels may be allowed to moor; ( n ) to prescribe and control the route or routes to be used by fishing vessels within territorial waters; ( o ) to regulate and control by licensing the use of ponds, pools, lakes, swamps, foreshores and any inland waters for the cultivation of fish; ( p ) to regulate or prohibit any method of cultivation of fish; ( q ) to regulate and control the sale or exhibition of fish or any competition held in respect of fish, including the licensing of premises for such purposes; ( r ) to register fishermen, fish culturists, fish dealers or any person connected with fishing or the fishing industry; ( s ) to license fishing vessels, fishing stakes, fishing nets, gear and equipment, and the like; ( t ) to regulate or prohibit the import, export or transhipment of any species of fish if the Minister is of the opinion that such species of fish may pose a threat to the ecological balance or integrity of fisheries, or to public safety; ( u ) to regulate or prohibit the construction of any bunds, slides, dams or other barriers or obstruction in inland and estuarine waters; ( v ) to regulate or prohibit the deposit or discharge of any solid, liquid or gaseous substances whether beneficial or detrimental to fish; ( w ) to control the arrival and departure of fishing vessels including the issue of port clearances; ( x ) to inspect and survey fishing vessels with regard to seaworthiness and fitness for any particular method of fishing prior to licensing and to impose such conditions as may be necessary; ( y ) to prescribe and regulate lifesaving appliances to be carried by fishing vessels including lifebuoys, lifejackets, firefighting equipment, light, sound and visual signals, medicines, and the like; ( z ) to prescribe and regulate the minimum and maximum number and grade of persons to be carried on board any fishing vessel; ( za ) to prescribe the standards by which certificates of competency, including masters’ certificates, mates’ certificates, helmsmen’s certificates, engine-drivers’ certificates and other grades of certificates, may be awarded to persons who reach these standards or pass the required examinations; ( zb ) to prescribe fees for any licence to be issued or for any other service performed under this Act; ( zc ) to prescribe the forms for any licence, registration or certificate or authorise the Director‑General to prescribe such forms as he may think fit; ( zd ) to regulate the conditions of employment of fishermen on board fishing vessels, the discharge or repatriation of fishermen, apprenticeship, training, discipline and conduct on board ship, and the like; and ( ze ) to provide for the conduct of inquiries and investigations into casualties or accidents of fishing vessels including casualties or accidents due to incompetence, negligence, or insubordination and to regulate the liability of fishing boat owners in respect of such casualties or accidents including the loss of life or goods or injury or damage to life or goods. [11/2019]


document_id: fa-1981
provision_ref: s2
section: 2
title: Interpretation
content:
2. —(1) In this Act, unless the context otherwise requires — “advertisement”, for a film — ( a ) means any of the following where used or apparently used to give publicity to the film or to promote (directly or indirectly) the distribution or public exhibition of the film: (i) any words, whether written or in an audible message; (ii) any still picture, sign, symbol or other visual image or representation; (iii) any combination of 2 or more of those things in paragraph (i) or (ii); but ( b ) does not include — (i) a trailer of any film; (ii) an advertisement about a film in a book, newspaper, periodical or magazine; (iii) a catalogue or price list about films; (iv) an advertisement about a film appearing on an item of clothing or apparel; (v) a website advertisement about a film; (vi) an advertisement about a film that is broadcast; or (vii) any communications of personal opinion made by an individual (for no commercial gain) to the public or a section of the public about any film; Examples ( a ) A flag, poster, placard, banner, photograph, sketch or signboard about a film. ( b ) An advertisement woven in, impressed on, worked into or annexed to, a container, covering, package, casing, box or other thing in or with which a film is distributed. “affix”, for a label relating to a film, means any of the following: ( a ) to apply the label to the film; ( b ) to weave in, impress on, work into or annex the label to, a container, wrapping, casing, box or other thing in or with which the film is distributed; ( c ) to apply the label, or to incorporate the label in, an instruction or other like document that accompanies the film; “Authority” means the Info‑communications Media Development Authority established by the Info‑communications Media Development Authority Act 2016; “broadcasting service” has the meaning given by section 2(1) of the Broadcasting Act 1994; “business” includes any business in Singapore, whether or not carried on for profit and whether or not its primary function is connected with films; “child” means a person who is below 14 years of age; “cinematograph film” means a slide, disc, tape or other article or thing in which visual images are embodied and from which a moving picture may be shown or produced, and includes the aggregate of sounds embodied in a soundtrack (if any) associated with the visual images forming part of the cinematograph film; “class licence” means a class licence determined under an order made under section 10A(1); “class licensee” means a person to whom an order under section 10A(1) applies; “classification certificate” means a classification certificate issued under section 18; “classification label” means a classification label made available under section 18; “classification officer”, in relation to any provision of this Act or its subsidiary legislation, means an officer of the Authority who is appointed as a classification officer under section 4(1)( a ) for the purposes of that provision; “classification rating” means a rating prescribed under section 13; “classified”, in relation to a film, means — ( a ) classified or re-classified by the Authority under section 15 (including deemed classified under section 15(9)); ( b ) classified by a film content assessor and deemed by section 20(1) to be classified by the Authority; ( c ) classified or re-classified under section 26 or 27 by the Committee of Appeal (whether before, on or after 29 April 2019; or ( d ) classified by the Board of Film Censors by specifying the classification for the film in a certificate approving the exhibition of the film under this Act as in force before 29 April 2019; “classify”, in relation to a film, means assigning under section 15 a classification rating for the film; “Committee of Appeal” means the Committee of Appeal established under section 25; “computer generated image” means an image (including an image in the form of text) produced by use of a computer on a computer monitor, television screen, mobile device or similar medium from electronically recorded data; “contentious material”, for a film, means material comprised in the content of the film that is within the ambit of section 16; “distribute” means doing any of the following without using a broadcasting service: ( a ) sell, supply or let for hire to a person in Singapore; ( b ) offer or agree to sell, supply or let for hire to a person in Singapore; ( c ) cause or permit to be sold, supplied to or hired by a person in Singapore; ( d ) under or in connection with a commercial arrangement — (i) exchange or supply to a person in Singapore; or (ii) enable or assist an exchange or a supply to a person in Singapore, even if the exchange or supply is not, by itself, a commercial arrangement; ( e ) display or invite to treat for an act mentioned in paragraph ( a ), ( b ), ( c ) or ( d ); “election” means an election under the Parliamentary Elections Act 1954 or the Presidential Elections Act 1991; “electronic transmission” includes electronic mail, telecommunications and other electronic communication; “enforcement officer”, in relation to any provision of this Act or its subsidiary legislation, means an officer of the Authority who is appointed as an enforcement officer under section 4(1)( c ) for the purposes of that provision; “evidential material” means any of the following: ( a ) a thing with respect to which an offence under this Act or its subsidiary legislation has been or is suspected, on reasonable grounds, to have been committed; ( b ) a thing that there are reasonable grounds for suspecting will afford evidence as to the commission of an offence under this Act or its subsidiary legislation; ( c ) a thing that there are reasonable grounds for suspecting is intended to be used for the purpose of committing an offence under this Act or its subsidiary legislation; “exempt film” means a film that is, by section 40, exempt from all provisions of this Act; “exhibit” includes — ( a ) for a film that is a video game — to demonstrate or display the video game, but does not include any activity that is public entertainment within the meaning of the Public Entertainments Act 1958; and ( b ) for a film that is not a video game — to display, screen or project the contents contained in the film in order that another individual may see it (regardless of the manner of the film’s reception), and further includes the meaning given in subsection (5); “film” means — ( a ) a cinematograph film or video recording; ( b ) a video game; or ( c ) any other form of recording from which a moving visual image (except as provided otherwise in subsection (5)) including a computer generated image, can be produced and viewed (together with its soundtrack), and includes any trailer for a film and any part of a film; “film content assessor” means an individual who is registered under section 19, but does not include an individual during the period his or her registration under that section is suspended; “interactive game” means a game in which the way the game proceeds, and the result achieved at various stages of the game, is determined in response to decisions, inputs and the direct involvement of the player; “its subsidiary legislation”, in relation to this Act, means any subsidiary legislation made under this Act; “licence” means a licence granted under section 7; “licensee” means the person to whom a licence is granted, but does not include — ( a ) a class licensee; or ( b ) a person during the period the person’s licence is suspended; “licensing officer”, in relation to any provision of this Act or its subsidiary legislation, means an officer of the Authority who is appointed under section 4(1)( b ) for the purposes of that provision; “mobile device” includes a mobile telephone or other device that is designed to run a mobile operating system; “modify”, in relation to any conditions of a licence or classification certificate, includes — ( a ) deleting, or varying and substituting such a condition; and ( b ) adding any such condition; “obscene”, in relation to a film, means a film the effect of which or (where the film comprises 2 or more distinct parts or items) the effect of any one of its parts or items is, if taken as a whole, such as to tend to deprave or corrupt persons who are likely, having regard to all relevant circumstances, to see or hear the film; “occupier”, in relation to a place, means the person in occupation of the place (whether or not an owner or lodger), and includes the person otherwise having the charge, management or control of the place either on his or her own account or as agent of another person; “party political film” means a film — ( a ) that is an advertisement made by or on behalf of any political party in Singapore or any body whose objects relate wholly or mainly to politics in Singapore, or any branch of such party or body; or ( b ) that is made by any person and directed towards any political end in Singapore; “place” includes — ( a ) any vacant land in Singapore; ( b ) any, or part of any, building or structure of any kind in Singapore, whether vacant or occupied; or ( c ) any vehicle, vessel or aircraft in Singapore, other than — (i) a vehicle on a journey, whether direct or indirect, between a place in Singapore and a place outside Singapore and includes any part of the journey that may occur within Singapore; (ii) a vessel on a voyage, whether direct or indirect, between a place in Singapore and a place outside Singapore and includes any part of the voyage that may occur within Singapore; or (iii) an aircraft on a flight that passes through the airspace over the territory of more than one country and includes any part of the flight that may occur within Singapore; “prohibited film” means a film that is the subject of an order made under section 35(1); “public place” means — ( a ) any place in Singapore to which members of the public have access as of right or by virtue of express or implied permission, whether or not on payment of a fee, and whether or not access to the place may be restricted at particular times or for particular purposes; or ( b ) a part of a place in Singapore that the occupier of the place allows members of the public to enter, but only while the place is ordinarily open to members of the public, whether or not it is an approved place within the meaning of the Public Entertainments Act 1958; “publicly exhibit”, in relation to a video game, a film that is not a video game, or an advertisement for a film, means to exhibit the video game, film or advertisement (as the case may be) in a public place (such as a cinema or theatre) or so that it can be seen from a public place, and includes — ( a ) arranging or conducting the exhibition of the video game, film or advertisement (as the case may be) in a public place or so that it can be seen from a public place; or ( b ) having the superintendence or management of the place in or from which the video game, film or advertisement (as the case may be) is publicly exhibited; “publish”, in relation to an advertisement for a film, means to publicly exhibit, display, disseminate or otherwise communicate the advertisement to the general public; “re-classify”, in relation to a classified film, means to review the classification for the film and — ( a ) to alter the classification by raising or lowering the classification applicable to the film; or ( b ) to revoke the classification for the film; “register of film content assessors” means the register of film content assessors required under section 20C to be kept and maintained by the Authority; “supply”, in relation to a film, includes any of the following: ( a ) supplying the contents of the film by electronic transmission to which this Act applies; ( b ) offering or giving the film as a prize in any lottery, raffle, draw, game or competition; ( c ) offering or giving away the film for the purpose of advertisement or in furtherance of any business; “telecommunications” has 


document_id: fa-1981
provision_ref: s3
section: 3
title: Authority to administer this Act
content:
3. It is the function of the Authority to exercise licensing and classification functions in accordance with this Act with respect to films, and to otherwise enforce and administer this Act. [25/2018]


document_id: fa-1981
provision_ref: s4
section: 4
title: Classification officers, licensing officers and enforcement officers
content:
4. —(1) The Authority may appoint any officer of the Authority as all or any of the following: ( a ) a classification officer for the administration and enforcement of any provision of this Act or its subsidiary legislation in relation to classification of films; ( b ) a licensing officer for the administration and enforcement of any provision of this Act or its subsidiary legislation in relation to licensing; ( c ) an enforcement officer for exercising powers conferred by a provision of this Act or its subsidiary legislation on an enforcement officer. [25/2018] (2) An enforcement officer may exercise powers conferred under this Act or its subsidiary legislation only to the extent authorised by the Authority, which may include being directed by another suitably senior enforcement officer. [25/2018] (3) The Authority must issue to each enforcement officer an identification card, which must be carried at all times by the officer when exercising his or her powers under this Act or its subsidiary legislation. [25/2018] (4) It is not an offence under this Act for any person to refuse to comply with any request, demand or order made or given by any enforcement officer who fails to declare his or her office and refuses to produce his or her identification card on demand being made by that person. [25/2018]


document_id: fa-1981
provision_ref: s4A
section: 4A
title: Advisory committees
content:
4A. —(1) The Minister may appoint one or more advisory committees to provide advice to the Authority with regard to the performance of any of its functions in relation to any film. [13/2009; 25/2018] (2) Before making any decision under this Act in relation to a film and for the purpose of forming an opinion on which to base such decision, the Authority may consult with the relevant advisory committee in respect of the film but, in making such decision, is not bound by such consultation. [13/2009; 25/2018]


document_id: fa-1981
provision_ref: s5
section: 5
title: Delegation of powers and duties by Authority
content:
5. —(1) Subject to subsection (4), the Authority may delegate to — ( a ) a classification officer the exercise of all or any of the powers conferred or duties imposed upon it by any provision of this Act or its subsidiary legislation relating to classification of films; or ( b ) a licensing officer the exercise of all or any of the powers conferred or duties imposed upon it by any provision of this Act or its subsidiary legislation relating to licensing, and any reference to the Authority in that provision includes a reference to such a classification officer or licensing officer, as the case may be. [25/2018] (2) No delegation under subsection (1) debars the Authority from the exercise of any power or the performance of any duty so delegated. [25/2018] (3) A delegation under subsection (1) may be general or in a particular case, and may be subject to such conditions or limitations as set out in this Act or as the Authority may specify. [25/2018] (4) Nothing in this section authorises the Authority delegating the power of delegation conferred by this section. [25/2018]


document_id: fa-1981
provision_ref: s6
section: 6
title: Licence to import, distribute or publicly exhibit film
content:
6. —(1) A person must not, unless authorised to do so by a licence or class licence — ( a ) import any film in the course of any business; ( b ) distribute any film in the course of any business; or ( c ) publicly exhibit any film in the course of any business. [25/2018] (2) A person who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $40,000 or to imprisonment for a term not exceeding 12 months or to both; and ( b ) in the case of a continuing offence, to a further fine not exceeding $500 for every day or part of a day during which the offence continues after conviction. [25/2018]


document_id: fa-1981
provision_ref: s7
section: 7
title: Application for licence
content:
7. —(1) An application for a licence must be made to the Authority, be accompanied by an application fee (if prescribed), and be made in the form or manner determined by the Authority. [25/2018] (2) On receipt of an application under subsection (1), the Authority must consider the application and may grant a licence with or without conditions or refuse to grant a licence without assigning any reason. [25/2018] (3) A licence may be granted in such form as the Authority determines. [25/2018] (4) Subject to subsection (5), the Authority may, at any time, modify the conditions of a licence. [25/2018] (5) Unless the Authority considers it impractical or undesirable in the circumstances of the case, the Authority must, before proceeding to modify any condition of a licence under subsection (4), give the licensee concerned written notice of its intention to do so, and an opportunity to make a representation, within such time as may be specified in the notice, as to why the condition should not be modified. [25/2018]


document_id: fa-1981
provision_ref: s8
section: 8
title: Security
content:
8. —(1) The Authority may, upon granting a licence, require the licensee to give a performance bond, guarantee or other form of security on such terms and conditions and of such amount as the Authority considers appropriate — ( a ) to ensure that the provisions of this Act and its subsidiary legislation, and the conditions of the licence, will be duly observed; and ( b ) to meet any financial penalty arising out of any proceedings under section 11 against the licensee. [25/2018] (2) If a licensee fails to pay any financial penalty ordered under section 11, the Authority may enforce the payment by forfeiting the whole or any part of any deposit placed by the licensee under this section. [25/2018] (3) This section does not affect the operation of section 11. [25/2018]


document_id: fa-1981
provision_ref: s10
section: 10
title: Period for which licence is in force
content:
10. A licence is in force for such period as the Authority may determine and may be renewed at the discretion of the Authority on its expiry. [25/2018]


document_id: fa-1981
provision_ref: s10A
section: 10A
title: Class licence for certain imports, etc., of certain films
content:
10A. —(1) The Authority may, by order in the Gazette , determine a class licence that authorises any person to which the order applies — ( a ) to import, distribute or publicly exhibit a film of a specified kind in the course of any business; ( b ) to import, distribute or publicly exhibit a film in the course of a specified kind of business; or ( c ) to import, distribute or publicly exhibit a film of a specified kind in the course of a specified kind of business. [25/2018] (2) The Authority may include in the class licence any condition that it thinks fit, including but not limited to the following: ( a ) a condition specifying the places at which, the geographical area within which, or the periods during which, the import, distribution or public exhibition of the film is authorised under the class licence; ( b ) a condition that any class licensee under the class licence must comply with a code or standard incorporated by the class licence and made applicable to the person; ( c ) a condition that facilitates compliance by class licensees with the classification requirements of this Act, and the order in the Gazette must include all the conditions of the class licence. [25/2018] (3) Different conditions may be specified for different types of activities described in subsection (1). [25/2018] (4) Subject to this section, the Authority may, by order in the Gazette , vary the class licence by — ( a ) varying or revoking any condition specified in the class licence; or ( b ) specifying additional conditions of the class licence. [25/2018] (5) Before varying a class licence under subsection (4) or revoking the order under subsection (1) and ending a class licence, the Authority must, unless the Authority considers it impractical or undesirable in the circumstances of the case, cause to be published, in accordance with subsection (6), a written notice that — ( a ) states that the Authority proposes to vary the class licence, or to end the class licence; ( b ) describes the proposed variation or ending; and ( c ) invites interested persons to make representations about the proposed variation or ending by a specified date that is at least one month after the date of publication of the notice. [25/2018] (6) A notice under subsection (5) must be published on the Authority’s website or in one or more other forms that are readily accessible by the public. [25/2018] (7) The Authority must, before varying a class licence under subsection (4) or revoking the order under subsection (1) and ending a class licence, give due consideration to any representations made to it pursuant to the notice given in accordance with subsection (5). [25/2018] (8) The import, distribution or public exhibition of a film by any person to which an order under subsection (1) applies is deemed authorised by a licence if it is done in accordance with the conditions of the class licence. [25/2018]


document_id: fa-1981
provision_ref: s11
section: 11
title: Regulatory action against licensees, etc.
content:
11. —(1) Subject to this section, the Authority may, without compensation, by written order, take regulatory action described in subsection (2) against a licensee or class licensee if the Authority is satisfied that — ( a ) the licensee is contravening or has contravened any condition of its licence, or the class licensee is contravening or has contravened any condition of the class licence, which contravention is not an offence under this Act; ( b ) the licensee or class licensee has been convicted, on or after 29 April 2019 but during the term of its licence or the class licence, of any offence under this Act or its subsidiary legislation which is committed on or after that date; ( c ) the licence had been obtained by the licensee by fraud or misrepresentation; ( d ) the licensee or class licensee has ceased — (i) to import or distribute films in the course of any business; or (ii) to publicly exhibit films in the course of any business; ( e ) the licensee or class licensee has been declared bankrupt, or has gone into compulsory or voluntary liquidation other than for the purpose of amalgamation or reconstruction; ( f ) the licensee or class licensee has failed to comply with a requirement under subsection (2)( b )(iv) or section 8 or an order under this section to pay a financial penalty; ( g ) the licensee has imported or distributed, or publicly exhibited (as the case may be) films in the course of business in contravention of any order of the Authority made under subsection (2)( b )(ii) or (iii); or ( h ) the public interest so requires. [25/2018] (2) The regulatory action that the Authority may take against a licensee or class licensee is as follows: ( a ) with or without forfeiting any security furnished by the licensee under section 8 or this section — (i) revoke a licence of that licensee; or (ii) disapply the class licence in an order under section 10A(1) with respect to that class licensee; ( b ) in lieu of paragraph ( a ), all or any of the following: (i) suspend the licence or the application of the class licence (as the case may be) for a period not exceeding 6 months; (ii) for a licensee, remove from the licence any place specified in the licence at which the licensee is authorised to distribute or publicly exhibit a film; (iii) for a licensee, modify the conditions of the licence, about the import, distribution or public exhibition (as the case may be) of films by the licensee; (iv) for a licensee, require the licensee to furnish additional security in the form mentioned in section 8; (v) for a licensee, forfeit the whole or part of any security furnished by the licensee under section 8 and this section but not exceeding the limit in sub‑paragraph (vi); (vi) for a licensee or class licensee, direct it to pay, within a period specified, a financial penalty of such amount as the Authority thinks fit, being not more than $10,000. [25/2018] (3) Before exercising any powers under this section, the Authority must, unless it is not practicable or desirable to do so in the circumstances of the case, give written notice to the licensee or class licensee concerned — ( a ) stating that the Authority intends to take regulatory action against the licensee or class licensee under subsection (1); ( b ) specifying the type of regulatory action in subsection (2) the Authority proposes to take, and each instance of non‑compliance that is the subject of the regulatory action; and ( c ) specifying the time (being not less than 7 days and not more than 28 days after the date the written notice is served on the licensee or class licensee) within which written representations may be made to the Authority with respect to the proposed regulatory action. [25/2018] (4) The Authority may decide to take the appropriate regulatory action described in subsection (2) — ( a ) after considering any written representation made to it pursuant to the written notice mentioned in subsection (3); or ( b ) after the time specified in the written notice under subsection (3)( c ) lapses, where no representation is so made. [25/2018] (5) However, subsection (3) does not apply where the licensee or class licensee has died or is adjudged a bankrupt, or has been dissolved or wound up, or has otherwise ceased to exist. [25/2018] (6) Where the Authority decides under subsection (1) to take regulatory action against a licensee or class licensee, the Authority must serve on the licensee or class licensee concerned a written notice of that decision. [25/2018] (7) Any decision by the Authority under subsection (1) does not take effect until the Authority has served the written notice in subsection (6) on the licensee or class licensee concerned, or on a later date specified in that notice. [25/2018] (8) An appeal under section 28 against any decision of the Authority under subsection (1) does not prevent that decision from taking effect in accordance with subsection (7). [25/2018] (9) Where a decision to revoke a licence or to disapply a class licence under subsection (1) becomes effective — ( a ) the Authority must cause notice of the revocation or disapplication (as the case may be) to be published on the Authority’s website; and ( b ) as from the date the decision takes effect, the former licensee or former class licensee concerned must stop importing, distributing or publicly exhibiting films except to the extent specially approved by the Authority. [25/2018] (10) Any revocation or suspension of any licence, and any disapplication or suspension of the application of a class licence, does not affect — ( a ) the enforcement by any person of any right or claim against the licensee or class licensee, or the former licensee or former class licensee (as the case may be); or ( b ) the enforcement by the licensee or former licensee, or class licensee or former class licensee (as the case may be), of any right or claim against any person. [25/2018] (11) In any proceedings under this section in relation to the conviction of a licensee or class licensee for an offence, the Authority may accept the licensee’s conviction as final and conclusive. [25/2018] (12) If the financial penalty imposed under this section in relation to any regulatory action taken by the Authority exceeds the total amount of the deposit placed by the licensee under section 8 and this section, the amount of the excess is a debt due to the Authority. [25/2018]


document_id: fa-1981
provision_ref: s12
section: 12
title: Permit to remove imported films
content:
12. —(1) A person must not, except under the authority of a permit from the Authority, remove any film — ( a ) in the case of a film imported by sea — from the vessel by which the film was imported or from any premises of a provider of port services or facilities licensed or exempted under the Maritime and Port Authority of Singapore Act 1996; ( b ) in the case of a film imported by air — from the airport; or ( c ) in the case of a film imported by land — from a post office, railway station or other place of arrival. [25/2018] (2) The permit mentioned in subsection (1) must be in the form, and for the validity period, that the Authority determines. [25/2018] (3) A person who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $5,000. [25/2018] (4) This section does not apply to any film that is classified. [25/2018]


document_id: fa-1981
provision_ref: s13
section: 13
title: Types of classification and classification ratings
content:
13. —(1) The Minister must, by order in the Gazette , prescribe — ( a ) the different types of classifications for films; ( b ) the ratings for each type of classification giving information about the classification (called in this Act classification ratings); and ( c ) the markings for each type of classification rating. [25/2018] (2) An order made under subsection (1) may prescribe different types of classification ratings for different kinds of films. [25/2018] (3) For the purposes of this Act, the classification stating that a film is fit for viewing by any member of the public of any age is the lowest classification. [25/2018]


document_id: fa-1981
provision_ref: s14
section: 14
title: Applications for film classification or re-classification
content:
14. —(1) An application for classification or re-classification of a film must — ( a ) be made to the Authority in the form and manner the Authority determines; and ( b ) be accompanied by — (i) the fee prescribed (if any) for the classification that is sought in that application; (ii) other documents or information prescribed (if any) for that category of film; and (iii) any other information that the Authority may require in that particular case. [25/2018] (2) The Authority may decline to deal with an application under subsection (1) for classification or re-classification of a film, or decline to deal further with that application, if — ( a ) the applicant fails — (i) to provide or make available a copy of the film for screening or demonstration before the Authority; (ii) to demonstrate the film before the Authority; (iii) in the case of a film that is designed for use wholly or principally as a video game, to provide to the Authority recordings of the gameplay; or (iv) to furnish the information required under subsection (1)( b ); or ( b ) in the opinion of the Authority, the copy of the film or the recordings of the gameplay (as the case may be) provided are incomplete or inadequate to allow a proper consideration of the application. [25/2018] (3) The Authority may retain a copy of any film that is the subject of an application under this section for so long as the Authority requires. [25/2018]


document_id: fa-1981
provision_ref: s15
section: 15
title: Classification and re-classification of films
content:
15. —(1) Subject to subsection (10), on receipt of an application under section 14 for classification or re-classification of a film, or on the referral of the Minister under section 24A(1)( b ), the Authority may, after viewing the film — ( a ) classify or re-classify the film, as the case may be; or ( b ) provisionally classify or re-classify the film (as the case may be) subject to such alterations or excisions as the Authority may specify. [25/2018] (2) Where — ( a ) a decision of a film content assessor assigning a classification rating in relation to a film is, by the operation of section 20(1), deemed to be a decision of the Authority classifying the film; and ( b ) the Authority is of the opinion that the Authority would have given the film a different classification rating (whether on its own initiative under subsection (3) or on application under section 14), the Authority may, after viewing the film, revoke the classification by the film content assessor and then re-classify the film by giving the film a different classification rating. [25/2018] (3) Subject to subsection (10), the Authority may, on its own initiative, call in a classified film for re-classification purposes or an unclassified film for classification purposes and, after viewing the film — ( a ) classify or re-classify the film, as the case may be; or ( b ) provisionally classify or re-classify the film (as the case may be) subject to such alterations or excisions as the Authority may specify. [25/2018] (4) However, where after viewing a film, the Authority is of the opinion that the film is within the ambit of section 16, the Authority must refuse to classify the film (after revoking any prior classification for the film), and give reasons for that decision. [25/2018] (5) The matters to be taken into account by the Authority in making a decision under this section on the classification or re-classification for a film include — ( a ) the standards of morality, decency and propriety generally accepted by reasonable adults in Singapore; ( b ) the literary, artistic or educational merit (if any) of the film; ( c ) the general character of the film; and ( d ) the person or class of persons to or amongst whom the film is distributed or publicly exhibited, or is intended or likely to be distributed or publicly exhibited. [25/2018] (6) Before making its decision under subsection (1), (2), (3) or (4) and for the purpose of forming an opinion on which to base such decision, the Authority may consult an advisory committee or any other person in respect of the film; but the Authority is not bound by any advice from the consultation. [25/2018] (7) In classifying or re-classifying a film, the Authority must assume that the film will be distributed or publicly exhibited only in the form in which it is being considered for classification or re‑classification under this section. [25/2018] (8) In classifying or re-classifying any film under subsection (1), (2) or (3), the Authority may also determine the consumer advice giving information about the content of the film. [25/2018] (9) A provisional classification or re-classification for a film — ( a ) lapses at the end of 6 months after it is made; and ( b ) is deemed a classification for that film upon the Authority confirming in writing that all the conditions contained in its provisional classification have been complied with before the end of the period in paragraph ( a ). [25/2018] (10) This section does not authorise the Authority to exercise any power under this section in relation to a film — ( a ) that is an obscene film, a party political film or a prohibited film; ( b ) that the Minister has or is deemed to have refused classification on the ground that it is against national security for the film to be classified; or ( c ) in respect of which the Committee of Appeal has, on appeal to it, made a decision (whether before, on or after 29 April 2019), unless — (i) more than 5 years have lapsed after the decision of the Committee of Appeal takes effect; or (ii) the Authority earlier changes any part of its classification guidelines, being a change that relates to any part of the film’s content. [25/2018]


document_id: fa-1981
provision_ref: s15A
section: 15A
title: Calling in films for classification or re-classification
content:
15A. —(1) For the purpose of section 15(3), a film may be called in for classification or re-classification by the Authority giving a written order to — ( a ) a licensee or class licensee who is distributing or publicly exhibiting the film where it is a classified film; or ( b ) a maker or other person in possession of the film where it is an unclassified film. [25/2018] (2) An order under subsection (1) may require a person given the order to do the following within a period specified in the order: ( a ) to provide or make available a copy of the film for screening or demonstration before the Authority; ( b ) to demonstrate the film before the Authority; ( c ) in the case of a film that is designed for use wholly or principally as a video game, to provide to the Authority recordings of the gameplay; ( d ) to provide such other information about the film that the Authority may require in that particular case. [25/2018] (3) A person who, without reasonable excuse, fails to do anything required of the person by an order under subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000. [25/2018]


document_id: fa-1981
provision_ref: s15B
section: 15B
title: Supplementary provisions for film classification, etc.
content:
15B. —(1) For any viewing of a film for the purposes of section 15(1), (2), (3) or (4), only the following individuals, or a combination of such individuals, may be present at the viewing: ( a ) a member of the Authority; ( b ) a classification officer to whom the Authority has delegated its functions under section 5(1); ( c ) the projectionist of the film if the film is screened; ( d ) a member of the advisory committee which the Authority intends to consult with regard to the film; ( e ) any public officer or other individual whom the Authority thinks may assist it in making such a decision. [25/2018] (2) As soon as practicable, but not later than 14 days, after a decision is made under section 15(1), (2), (3) or (4) in respect of a film, the Authority — ( a ) must give to an applicant written notice of its decision under section 15 in respect of the applicant’s application for classification or re-classification of the film; and ( b ) must, in the case of re-classification of a film (whether on the own initiative of the Authority or on application), publish the decision on the Authority’s website, or in one or more other forms that are readily accessible by the public. [25/2018]


document_id: fa-1981
provision_ref: s16
section: 16
title: Refused classification for certain films
content:
16. —(1) Despite anything in this Act, the Authority, the Committee of Appeal and an individual who is registered as a film content assessor must refuse to classify any film that — ( a ) is an obscene film; ( b ) is a party political film; ( c ) is a prohibited film; ( d ) is against national security to be classified; or ( e ) contains any material prescribed. [25/2018] (2) A film which is refused classification is an unclassified film. [25/2018]


document_id: fa-1981
provision_ref: s17
section: 17
title: De-classification of classified film
content:
17. —(1) If the content of a classified film is modified, the film as modified becomes unclassified when the modification is made; and the classification for the film with the modification is also deemed to be then revoked. [25/2018] (2) Without limiting subsection (1), the Authority may revoke the classification for a film if it is of the opinion that — ( a ) the film contains contentious material that was not brought to the Authority’s attention before the classification was made; or ( b ) the Authority would have given the film a different classification if it had been aware of the material before the classification was made. [25/2018] (3) Subsection (1) does not apply to a modification that consists of — ( a ) the addition or removal of navigation functions (such as but not limited to an interactive menu); or ( b ) any content or material that is prescribed as not likely to cause the film to be given a different classification rating. [25/2018] (4) Where the classification for a film is revoked under subsection (1) or (2), the Authority must — ( a ) without delay notify the person who applied for the classification of that film under section 14 (unless the person cannot be found after reasonable inquiry) of the revoking of the film’s classification and the effective date of the revocation; and ( b ) cause to be published in the Gazette , a notice of the revoking of the film’s classification and the effective date of the revocation. [25/2018] (5) However, failure to publish a notice under subsection (4)( b ) in respect of any revocation of the classification for a film does not invalidate the revocation where notice thereof has been given under subsection (4)( a ). [25/2018] (6) To avoid doubt, it is declared that where a classification certificate in respect of a film is revoked or deemed to be revoked under this section, that revocation applies in respect of each copy of that film as it applies to that film. [25/2018]


document_id: fa-1981
provision_ref: s18
section: 18
title: Classification certificates and labels
content:
18. —(1) The Authority must — ( a ) issue a classification certificate for each film that is classified under section 15, 26 or 27, or re-classified under section 15, 26 or 27; and ( b ) make available a label (called in this Act a classification label) to be affixed to the film. [25/2018] (2) The Authority may impose in relation to a classification certificate any conditions that it thinks fit relating to the circumstances of distribution or public exhibition of the film to which the classification certificate relates. [25/2018] (3) A classification certificate issued in respect of a classified film must include — ( a ) the classification ratings for the classification given to the film; ( b ) any consumer advice for the film; and ( c ) the conditions about the display of the classification ratings and consumer advice (if any), on — (i) any advertisement of the film; and (ii) the container, wrapping, casing, box or other thing in or with which the film is to be distributed. [25/2018] (4) Where a classification certificate is issued and in force in respect of a film, that certificate applies to each copy of the film that is identical in content with it as if that copy were that film and, for that purpose, any reference in this Act to that film includes a reference to every copy of that film. [25/2018] (5) A classification label in respect of a film must — ( a ) show the markings for the classification rating for the classification given to the film; and ( b ) be affixed, in the manner prescribed (if any), to every copy of the film before the film is distributed or publicly exhibited. [25/2018] (6) In any proceedings for an offence under this Act, if a copy of a film or a container of the film is distributed or publicly exhibited with a classification label affixed to it in accordance with subsection (5), the label is sufficient evidence of the fact that the film is a classified film of the classification rating stated on that label unless the contrary is established. [25/2018] (7) Where the Authority issues a classification certificate for any film, it may, where the Authority considers appropriate, require the person who applied under section 14 for classification or re‑classification of the film to deposit with the Authority a copy of the film identical in content to that which was classified, and in the form the Authority specifies — ( a ) not later than 14 days after the date the classification certificate was issued; or ( b ) within any longer period that the Authority may allow in any particular case. [25/2018] (8) A person who, without reasonable excuse, fails to comply with any requirement of the Authority under subsection (7) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $5,000. [25/2018]


document_id: fa-1981
provision_ref: s19
section: 19
title: Film content assessors
content:
19. —(1) Subject to this Act, the Authority may, by registering an individual under this section, authorise the individual to do all the following work (whether or not for reward): ( a ) view and assess the content of a film that has not been classified or is not deemed classified by the Authority or the Committee of Appeal for the purpose of classifying the film’s content; ( b ) assign a classification rating for the film that would, if classified by the Authority, be substantially likely to be classified not higher than the prescribed classification rating (called in this Act the maximum permitted classification rating); ( c ) submit to the Authority a report of the assessment and the classification rating that the individual assigns to the film. [25/2018] (2) An individual is eligible to be registered as a film content assessor or have the individual’s registration so renewed only if — ( a ) the individual has paid the fees prescribed (if any) for the registration or renewal; ( b ) the individual satisfies the Authority that he or she has successfully completed the training decided by the Authority; and ( c ) the individual satisfies any other requirement that the Authority determines for such registration or renewal. [25/2018] (3) Without limiting subsection (2), the Authority may refuse to register, or renew the registration of, an individual as a film content assessor if, in the opinion of the Authority — ( a ) the individual is not of good character and reputation; or ( b ) there are reasonable grounds for believing that the individual will not carry out the duties of a film content assessor in accordance with this Act or its subsidiary legislation. [25/2018] (4) An individual who is not registered under this section as a film content assessor — ( a ) must not do (whether or not for reward) any work specified in subsection (1)( a ), ( b ) or ( c ); and ( b ) must not advertise or hold himself or herself out or describe himself or herself in any way to be registered as a film content assessor. [25/2018] (5) An individual who contravenes subsection (4)( a ) or ( b ) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $5,000. [25/2018]


document_id: fa-1981
provision_ref: s20
section: 20
title: Duties of film content assessor
content:
20. —(1) A film content assessor’s decision assigning a classification rating for an unclassified film is deemed, for the purposes of this Act, to be a decision of the Authority classifying the film. [25/2018] (2) However, if — ( a ) a film contains contentious material; or ( b ) a film would, if classified by the Authority, be substantially likely to be classified higher than the maximum permitted classification rating, a film content assessor must not view and assess the content of the film with a view to assigning a classification rating for the film, and must not assign a classification rating for that film. [25/2018]


document_id: fa-1981
provision_ref: s20A
section: 20A
title: Procedure for registration as film content assessor
content:
20A. —(1) An application for registration, or to renew any registration, as a film content assessor must be made in the manner, and must be accompanied by the documents and particulars, determined by the Authority. [25/2018] (2) Upon receiving an application under subsection (1), the Authority may, after considering the application — ( a ) register or renew the registration of (as the case may be) the applicant as a film content assessor, with or without conditions; or ( b ) refuse the registration or renewal (as the case may be). [25/2018] (3) Every registration as a film content assessor — ( a ) is in force for the period specified by the Authority (being no longer than 24 months), unless earlier cancelled under section 20B; and ( b ) may be renewed for a period specified by the Authority (being also no longer than 24 months). [25/2018]


document_id: fa-1981
provision_ref: s20B
section: 20B
title: Regulatory action against registered film content assessor
content:
20B. —(1) Subject to subsection (3), the Authority may, by written order, and without any compensation, cancel the registration of an individual as a film content assessor, or take all or any regulatory action specified in subsection (2) against the individual, where the Authority is satisfied that — ( a ) the individual obtained his or her registration, or the renewal of his or her registration, by fraud or misrepresentation; ( b ) the individual no longer satisfies any of the requirements in section 19(2)( b ) or ( c ) by virtue of which he or she was registered under that section; ( c ) the individual is convicted, on or after 29 April 2019 and during the period the individual’s registration is in force, of any of the following which is committed on or after that date: (i) an offence under this Act or its subsidiary legislation; (ii) an offence under other written law involving fraud or dishonesty; ( d ) the individual is, for any medical or other reason, no longer in a position to effectively carry out the duties of a film content assessor under this Act and its subsidiary legislation; ( e ) the individual has contravened section 20(2); ( f ) the individual has, without reasonable excuse, not completed any further training in the making of assessments that the Authority has directed the individual to attend; ( g ) the individual, without reasonable excuse, fails to pay any financial penalty ordered under subsection (2)( a ); or ( h ) the individual has engaged in conduct rendering the individual unfit to be a film content assessor. [25/2018] (2) The regulatory action that the Authority may take in lieu of cancelling registration as a film content assessor is all or any of the following: ( a ) to require the payment of a financial penalty not exceeding $5,000 for conduct that does not constitute an offence under this Act; ( b ) to suspend (for a period not exceeding 6 months) the registration of an individual as a film content assessor. [25/2018] (3) The Authority must not exercise any of its powers under subsection (1) or (2) unless an opportunity of being heard has been given to the film content assessor against whom the Authority intends to exercise any of those powers, being a period of at least 14 days and not more than 28 days. [25/2018] (4) Where the Authority has made an order under subsection (1) or (2), the Authority must serve on the film content assessor concerned a notice of the order. [25/2018] (5) Subject to subsection (6), an order by the Authority under subsection (1) or (2) does not take effect until the day after the Authority has served on the film content assessor concerned the notice mentioned in subsection (4). [25/2018] (6) An appeal under section 28 against any order under subsection (1) or (2) does not prevent that order taking effect in accordance with subsection (5). [25/2018] (7) However, the Authority may, without complying with subsections (3) to (6), by order in writing cancel with immediate effect the registration of a film content assessor who has died. [25/2018] (8) Where an order under subsection (1) or (2) cancelling or suspending the registration of an individual as a film content assessor becomes effective, the Authority must remove the name and particulars of that individual from the register of film content assessors. [25/2018] (9) If the registration of an individual as a film content assessor is suspended under this section for any period, then the Authority must, immediately after the period of suspension ends, reinstate the individual’s name and particulars on the register of film content assessors. [25/2018] (10) In any proceedings under this section in relation to the conviction of a film content assessor for a criminal offence, the Authority may accept the conviction as final and conclusive. [25/2018] (11) Any financial penalty imposed under this section may be recovered by the Authority as a debt due to it. [25/2018] (12) For the purpose of subsection (1)( h ), a film content assessor may be treated as having engaged in conduct that renders him or her unfit to be a film content assessor if the film content assessor — ( a ) had assigned a classification rating for 2 or more films that are re‑classified by the Authority under section 15; or ( b ) had assigned a classification rating for a film that is re‑classified by the Authority under section 15(2) and — (i) the original classification is 2 or more levels lower than the re‑classification of the film by the Authority; or (ii) the assessment of the content of the film that the film content assessor prepared and submitted to the Authority for the original classification is misleading or incorrect or contains grossly inadequate information. [25/2018]


document_id: fa-1981
provision_ref: s20C
section: 20C
title: Register of film content assessors
content:
20C. —(1) The Authority must keep and maintain a register of film content assessors containing the names and other relevant particulars of all individuals who are registered as film content assessors under this Act. [25/2018] (2) The absence of the name of any individual from the register of film content assessors is prima facie evidence that the individual is not a film content assessor registered under this Act or that the individual’s registration is cancelled or suspended. [25/2018] (3) The register of film content assessors must be published on the Authority’s website, or on such other medium which is accessible to members of the public as the Minister may require. [25/2018]


document_id: fa-1981
provision_ref: s21
section: 21
title: Offences involving unclassified films, etc.
content:
21. —(1) A person commits an offence if — ( a ) the person — (i) distributes or publicly exhibits an unclassified film; or (ii) has in the person’s possession a film that is an unclassified film, with the intention of distributing or publicly exhibiting the film; and ( b ) the person knows or ought reasonably to have known that, or is reckless as to whether, the film is an unclassified film. [25/2018] (2) A person commits an offence if — ( a ) the person distributes or publicly exhibits a film with a title that is not the same as the title by which the film is classified; and ( b ) the person knows or ought reasonably to have known that, or is reckless as to whether, the film’s title is not the same as the title by which the film is classified. [25/2018] (3) A person commits an offence if — ( a ) the person distributes or publicly exhibits a film with contents that are not the same as that in which the film is classified; and ( b ) the person knows or ought reasonably to have known that, or is reckless as to whether, the film’s contents are not the same as that in which the film is classified. [25/2018] (4) Subsections (2) and (3) do not apply to a film the contents of which are modified, and the modification is only that mentioned in section 17(3). [25/2018] (5) A person commits an offence if — ( a ) the person distributes a classified film — (i) without a classification label made available under section 18 for that film affixed to the film; (ii) affixed with a classification label showing a classification rating otherwise than in accordance with the classification assigned to that film under this Act; or (iii) affixed otherwise than in accordance with the manner prescribed (if any), with a classification label made available under section 18 in respect of that film; and ( b ) the person knows or ought reasonably to have known that, or is reckless as to whether — (i) no classification label made available under section 18 for that film is affixed to the film; (ii) a classification label showing a classification rating otherwise than in accordance with the classification assigned to that film under this Act is affixed to the film; or (iii) a classification label made available under section 18 in respect of that film is affixed otherwise than in accordance with the manner prescribed, as the case may be. [25/2018] (6) A person commits an offence if — ( a ) the person distributes a classified film without the consumer advice applicable to the film displayed on the film or the container, wrapping, casing, box or other thing in or with which the film is distributed; and ( b ) the person knows or ought reasonably to have known that, or is reckless as to whether the consumer advice applicable to the film is so displayed. [25/2018] (7) Where conditions have been imposed under section 18(2) on the classification certificate issued for a film and the conditions relate to the distribution or public exhibition of the film to persons below specified ages or at specified places, a person commits an offence if the person distributes or publicly exhibits the film to an individual knowingly, negligently or recklessly in contravention of any such condition. [25/2018] (8) A person who commits an offence under subsection (1), (2), (3), (5), (6) or (7) shall be guilty of an offence and shall be liable on conviction — ( a ) in respect of an offence under subsection (1), (2) or (3), to a fine not exceeding $40,000 or to imprisonment for a term not exceeding 6 months or to both; and ( b ) in respect of an offence under subsection (5), (6) or (7), to a fine not exceeding $5,000. [25/2018] (9) In a prosecution of an offence for contravening subsection (7) in relation to a distribution or public exhibition of a film to persons below a specified age in contravention of a condition in the classification certificate for that film, it is a defence for the defendant to prove, on a balance of probabilities, that at or before the time of the distribution or public exhibition, there was produced to the defendant documentary evidence that might reasonably be accepted — ( a ) as applying to the person to whom the film was distributed or publicly exhibited; and ( b ) as proving that the person was at least that specified age. [25/2018] (10) A reference in this section to an unclassified film does not include a reference to an obscene film or exempt film, or a party political film or prohibited film. [25/2018]


document_id: fa-1981
provision_ref: s22
section: 22
title: Offences about advertisements for films
content:
22. —(1) A person must not publish an advertisement for a film that is distributed or publicly exhibited or intended for distribution or public exhibition if — ( a ) the advertisement — (i) is disapproved under section 22A; or (ii) was approved under section 22A and the approval is then revoked under that section; and ( b ) the person knows or ought reasonably to have known that the advertisement — (i) is disapproved under section 22A; or (ii) was approved under section 22A and the approval is then revoked under that section. [25/2018] (2) If an advertisement for a film is approved under section 22A, a person must not publish the advertisement in a form different from the form in which it was approved, if the person knows or ought reasonably to have known that the form of the advertisement is different from the form in which the advertisement was approved. [25/2018] (3) If an advertisement for a film is approved under section 22A, and the advertisement is approved subject to conditions, a person must not publish the advertisement except in accordance with those conditions. [25/2018] (4) A person who contravenes subsection (1), (2) or (3) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $5,000. [25/2018] (5) This section does not apply to or in relation to — ( a ) any advertisement for a film that is not distributed or publicly exhibited in Singapore; ( b ) an advertisement, in an imported film that is in a form that cannot be modified, for a film that has not been distributed or publicly exhibited in Singapore (called the advertised film), whether or not that advertised film is later distributed or publicly exhibited in Singapore; ( c ) advertising by way of a product — (i) that refers to, or is derived from, a film; (ii) that is primarily intended to be distributed to the general public or to a section of the general public; and (iii) that a reasonable person would not consider to be a primary source of classification information for consumers about the film; ( d ) any advertisement for an exempt film; ( e ) any trailer that is a classified film; and ( f ) any other advertisement for a film excluded by the Minister by order in the Gazette . [25/2018]


document_id: fa-1981
provision_ref: s22A
section: 22A
title: Approval of advertisements for films
content:
22A. —(1) Every advertisement for a film that is intended for distribution or public exhibition must be submitted to the Authority for approval. [25/2018] (2) An application under subsection (1) for approval of an advertisement for a film must — ( a ) be made to the Authority in the form and manner the Authority determines; and ( b ) be accompanied by — (i) a copy of the advertisement concerned; (ii) the prescribed fee, if any; (iii) such information as may be prescribed, if any; and (iv) such other information as the Authority may require in that particular case. [25/2018] (3) On receipt of an application under subsection (2), the Authority — ( a ) may approve the advertisement to which the application relates, with or without conditions; or ( b ) may refuse to approve the advertisement. [25/2018] (4) The Authority is entitled to disapprove, or revoke any approval under this section for, an advertisement for a film if the film is a film which the Authority must refuse classification because of section 16. [25/2018] (5) The Authority may revoke any approval under this section for an advertisement for a film if the film becomes unclassified or is re‑classified. [25/2018]


document_id: fa-1981
provision_ref: s23
section: 23
title: Measures to ensure compliance, etc.
content:
23. —(1) The Authority, an enforcement officer, or a classification officer or licensing officer, may by written notice require any licensee or other person (called a person of interest) to furnish, within a reasonable period and in the form and manner specified in the notice, all documents and information that — ( a ) relate to any matter which the Authority considers necessary — (i) to ensure that the provisions of this Act and its subsidiary legislation, or any conditions imposed on a licence or classification certificate, are being complied with; or (ii) to otherwise carry out the functions or duties of or assigned to the Authority by or under this Act; and ( b ) are within the knowledge of that licensee or person of interest, or in or under the custody or control of that licensee or person, as the case may be. [25/2018] (2) The power to require a licensee or person of interest to furnish any document or information under subsection (1) includes the power — ( a ) to require that licensee or person of interest, or any individual who is or was an officer, agent or employee of the licensee or person of interest, to provide an explanation of the document or information; ( b ) if the document or information is not furnished, to require the licensee or person of interest, or that individual mentioned in paragraph ( a ), to state, to the best of the knowledge and belief of that licensee, person or individual, where the document or information is; and ( c ) if the information is recorded otherwise than in legible form, to require the information to be made available to the Authority, enforcement officer, or classification officer or licensing officer (as the case may be) in legible form. [25/2018] (3) The Authority is entitled without payment to keep any document or information, or any copy or extract thereof, furnished to it under subsection (1). [25/2018] (4) For the purpose of determining whether the provisions of this Act and its subsidiary legislation or any conditions imposed on a licence or classification certificate, are being complied with, an enforcement officer is entitled, at all reasonable times, to full and free access to any place which the enforcement officer reasonably believes is a place where films are distributed or publicly exhibited and — ( a ) to examine or observe any activity conducted in or on the place; ( b ) to inspect and examine any thing in or on the place; ( c ) to make any still or moving image or any recording of the place or any thing in or on the place; ( d ) to inspect any document in the place and take extracts from, or make copies of, any such document; ( e ) to take into or onto the place such equipment and materials as the enforcement officer requires for the purpose of exercising powers in relation to the place; ( f ) to operate electronic equipment in or on the place; ( g ) to secure a thing for a period not exceeding 24 hours if the thing is found in or on the place, where the enforcement officer believes on reasonable grounds that — (i) the thing is evidential material, or is used or intended to be used for the purpose of contravening any conditions imposed on a licence or classification certificate; and (ii) it is necessary to secure the thing in order to prevent it from being concealed, lost or destroyed before a warrant to seize the thing is obtained; and ( h ) to require any individual found in or on the place to answer any question (to the best of that individual’s knowledge, information and belief) and to furnish any document or information. [25/2018] (5) The power under subsection (4)( f ) to operate electronic equipment in or on any place includes the power — ( a ) to use a disk, tape or other storage device that is in or on the place and can be used with the equipment or in association with the equipment; ( b ) to operate electronic equipment in or on the place to put the relevant data in documentary form and remove the documents so produced from the place; and ( c ) to operate electronic equipment in or on the place to transfer the relevant data to a disk, tape or other storage device that — (i) is brought to the place for the exercise of the power; or (ii) is in or on the place and the use of which for that purpose has been agreed in writing by the occupier of the place, and to remove the disk, tape or other storage device from that place. [25/2018] (6) The power under subsection (4)( g ) to secure any thing which is found during the exercise of enforcement powers in or on any place includes the power — ( a ) to secure the thing by locking it up, placing a guard or any other means; and ( b ) to prohibit any person from dealing with such thing. [25/2018] (7) A person — ( a ) who intentionally alters, suppresses or destroys any document or information which the person has been required by a notice under subsection (1), or under subsection (4)( h ), to furnish; or ( b ) who, in furnishing any document or information required under subsection (1), or under subsection (4)( h ), makes any statement which the person knows or ought reasonably to know that, or is reckless as to whether, it is false or misleading in a material particular, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. [25/2018] (8) A person who, without reasonable excuse, fails to do anything required of the person by notice under subsection (1), or under subsection (4)( h ), shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000. [25/2018] (9) However, an individual or a person is not subject to a requirement under subsection (4)( h ) or (8) if — ( a ) the individual or person does not possess the document or information required; or ( b ) the individual or person has taken all reasonable steps available to the individual or person to obtain the document or information required and has been unable to obtain it. [25/2018] (10) To avoid doubt, for the purposes of subsection (8), it is a reasonable excuse for a person to refuse or fail to furnish any information, produce any document or answer any question if doing so might tend to incriminate that person. [25/2018] (11) The references in this section — ( a ) to a licensee include a reference to every person who is a class licensee or who is registered as a film content assessor; and ( b ) to documents or information include a reference to any film (whether classified or not) and any advertisement for a film. [25/2018]


document_id: fa-1981
provision_ref: s24
section: 24
title: Appeal against classification decisions
content:
24. —(1) In this section and section 24A, “appealable classification decision” means a decision by the Authority — ( a ) refusing to classify or re-classify a film under section 15 because — (i) it is against national security; or (ii) of any other ground in section 16; ( b ) classifying or re-classifying a film under section 15; ( c ) determining the consumer advice to apply to a film under section 15; ( d ) imposing conditions under section 18 — (i) about the display of the classification ratings, markings and consumer advice (if any), on any advertisement for the film or on the container, wrapping, casing, box or other thing in or with which the film is to be distributed; or (ii) relating to the circumstances of distribution or public exhibition of a film to which any classification certificate relates; ( e ) revoking the classification for a film under section 17(2); or ( f ) disapproving, or revoking the approval of, an advertisement for a film under section 22A, or imposing conditions on such an approval. [25/2018] (2) Any of the following persons who is aggrieved by an appealable classification decision relating to a film (each called an appellant) may appeal against the decision: ( a ) the person who applied for classification or re‑classification of a film; ( b ) the person who is the maker of a classified film if the applicant under section 14 for classification or re‑classification of the film is not the maker; ( c ) the person who intends to distribute or publicly exhibit a film if the applicant under section 14 for classification or re‑classification of the film is not that person; ( d ) the film content assessor whose classification for a film is revoked under section 15(2). [25/2018] (3) For an appealable classification decision described in subsection (1)( f ), an applicant for approval of an advertisement for a film under section 22A who is aggrieved by the decision relating to that advertisement (also called an appellant) may appeal against the decision. [25/2018] (4) An appeal against an appealable classification decision described in subsection (1)( a )(i) may only be made — ( a ) to the Minister; and ( b ) within 30 days after the applicant is notified of that decision (called the first appeal period) or any longer period that the Minister allows in exceptional circumstances before the end of the first appeal period. [25/2018] (5) An appeal against any other appealable classification decision described in subsection (1) may only be made — ( a ) to the Committee of Appeal; and ( b ) within — (i) 30 days after the applicant is notified of an appealable classification decision (called the first appeal period) or such longer period as the Committee of Appeal allows in exceptional circumstances before the end of the first appeal period; or (ii) for an appellant who is a film content assessor, 30 days after the notice of the film’s re-classification is first published pursuant to section 15B(2)( b ) (called the first appeal period) or any longer period that the Committee of Appeal allows in exceptional circumstances before the end of the first appeal period. [25/2018] (6) Every appeal under this section must be made in the manner prescribed or, if not prescribed, in the manner required by the Minister or the Committee of Appeal, as the case may be. [25/2018] (7) An appealable classification decision takes effect despite any appeal against the decision and remains in effect until the decision is varied or reversed on appeal. [25/2018]


document_id: fa-1981
provision_ref: s24A
section: 24A
title: Minister’s decision on appeal against classification decisions
content:
24A. —(1) The Minister may determine an appeal against an appealable classification decision described in section 24(1)( a )(i) — ( a ) by confirming the appealable classification decision; or ( b ) by reversing the refusal to classify the film in question and referring that film to the Authority for classification. [25/2018] (2) The Minister’s decision under subsection (1) is final. [25/2018] (3) Before making his or her decision under subsection (1) and for the purpose of forming an opinion on which to base such decision, the Minister — ( a ) must consult the Committee of Appeal; and ( b ) may consult any other person, in respect of the film; but the Minister is not bound by any advice from the consultation. [25/2018] (4) Where a film is referred under subsection (1) for classification, the appellant concerned must, for the purposes of section 15, be taken to have made an application under section 14 for classification of the film. [25/2018]


document_id: fa-1981
provision_ref: s25
section: 25
title: Committee of Appeal
content:
25. —(1) For the purposes of this Act, there is to be a Committee of Appeal consisting of at least 15 but not more than 21 members to be appointed by the Minister. [25/2018] (2) Subject to subsections (3) and (4), each member of the Committee of Appeal holds office for such period (not exceeding 3 years) as the Minister may specify in the member’s letter of appointment. [25/2018] (3) The Minister may at any time revoke the appointment of any member of the Committee of Appeal as the Minister considers necessary in the interest of the effective performance of the functions of the Committee of Appeal under this Act, or in the public interest. [25/2018] (4) A member of the Committee of Appeal may at any time, by letter addressed to the Minister, resign his or her membership. (5) If a premature vacancy occurs in the office of any member of the Committee of Appeal, the Minister may appoint a person to fill the vacancy and hold that office for the remainder of the term for which the vacating member was appointed; and “premature vacancy” means a vacancy that occurs in the office of a member of the Committee of Appeal otherwise than because of the expiry of the term of office. [25/2018] (6) The Chairperson and the Vice‑Chairperson of the Committee of Appeal are to be appointed by the Minister. (7) At any meeting of the Committee of Appeal in the absence of both the Chairperson and the Vice‑Chairperson, the members present are to elect one of their number to preside at that meeting. (8) In addition to the Chairperson’s general vote, the Chairperson of the Committee of Appeal or member presiding at a meeting of the Committee has, in the case of an equality of votes, a casting vote. [25/2018] (9) A quorum for a meeting of the Committee of Appeal is the number that is at least one-third the number of its members. [25/2018] (10) All members of the Committee of Appeal are deemed to be public servants within the meaning of the Penal Code 1871. [25/2018]


document_id: fa-1981
provision_ref: s26
section: 26
title: Powers of Committee of Appeal
content:
26. —(1) On receipt of an appeal under section 24, the Committee of Appeal may, after considering the matters mentioned in section 15(5), make an order — ( a ) dismissing the appeal and confirming the Authority’s decision; or ( b ) varying or reversing the Authority’s decision — (i) by classifying or re-classifying the film; (ii) by modifying the consumer advice in respect of a film; or (iii) by modifying the conditions imposed under section 18(2) or (3) in relation to the classification certificate issued in respect of the film. [25/2018] (2) The Committee of Appeal must deal with an appeal under section 24 in the same way that the Authority deals with an application for classification or re-classification of a film, and sections 15, 16 and 17 apply for this purpose as if references in each of those sections to the Authority were references to the Committee of Appeal. [25/2018] (3) The decision of the Committee of Appeal is final. (4) The Committee of Appeal must without delay communicate its decision on any appeal to the Authority, and the Authority must, if necessary, cancel a classification certificate or issue a fresh classification certificate, or both, in respect of the film and take any other action that is necessary to give effect to that decision. [25/2018]


document_id: fa-1981
provision_ref: s27
section: 27
title: Minister may order Committee of Appeal to inspect any film
content:
27. —(1) The Minister may, whenever he or she thinks it necessary or desirable, order the Committee of Appeal to cause to be exhibited before the Committee of Appeal any film in respect of which the decision or deemed decision by the Authority is refused classification other than on the ground that it is against national security to be classified, or any film classified or deemed classified or re-classified by the Authority, for the purpose of considering whether the film should or should not be classified, so classified or be re‑classified. [25/2018] (2) For the purpose of exercising its power under subsection (1) in respect of a film, the Committee of Appeal may give an order in writing to — ( a ) a licensee or class licensee who is distributing or publicly exhibiting the film; ( b ) an applicant under section 14 for classification or re‑classification of the film; or ( c ) a maker or other person in possession of the film that is an unclassified film. [25/2018] (3) An order under subsection (2) may require a person given the order to do the following within a period specified in the order: ( a ) to provide or make available a copy of the film for screening or demonstration before the Committee of Appeal; ( b ) to demonstrate the film before the Committee of Appeal; ( c ) in the case of a film that is designed for use wholly or principally as a video game, to provide to the Committee of Appeal recordings of the gameplay; ( d ) to provide such other information about the film that the Committee of Appeal may require in any particular case. [25/2018] (4) The Committee of Appeal may after such exhibition make in respect of the film any order specified in section 26(1), and section 26(4) applies to that order. (5) Any person who, without reasonable excuse, fails to do anything required of the person by an order under subsection (2) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $5,000. [25/2018] (6) To avoid doubt, nothing in this section limits the Authority’s powers under section 15. [25/2018]


document_id: fa-1981
provision_ref: s28
section: 28
title: Appeal to Minister against other decisions of Authority
content:
28. —(1) In this section, “appealable decision” means a decision by the Authority — ( a ) refusing the grant of the licence under section 7; ( b ) taking regulatory action under section 11; ( c ) refusing to register, or to renew the registration of, an individual as a film content assessor under section 19; or ( d ) taking regulatory action against a film content assessor under section 20B. [25/2018] (2) Any of the following persons who is aggrieved by an appealable decision in relation to that person (each called an appellant) may appeal against the decision: ( a ) an applicant for a licence, for an appealable decision in subsection (1)( a ); ( b ) a former licensee or former class licensee, for an appealable decision in subsection (1)( b ) that is revoking the licence with respect to the former licensee or disapplying the class licence with respect to the former class licensee; ( c ) a licensee or class licensee, for any other appealable decision in subsection (1)( b ); ( d ) an applicant for a registration or renewal of the registration as a film content assessor, for an appealable decision in subsection (1)( c ); ( e ) a film content assessor or former film content assessor affected by the appealable decision in subsection (1)( d ). [25/2018] (3) An appeal under this section may only be made by an appellant — ( a ) to the Minister in the manner prescribed or, if not prescribed, in the manner required by the Minister; and ( b ) within 14 days after the appellant is notified of an appealable decision (called the first appeal period) or any longer period that the Minister allows in exceptional circumstances before the end of the first appeal period. [25/2018] (4) The Minister may determine an appeal under this section by confirming, varying or reversing the Authority’s decision in subsection (1) that is the subject of the appeal; and the Minister’s decision is final. [25/2018] (5) An appealable decision takes effect despite any appeal against the decision and remains in effect until the decision is varied or reversed on appeal. [25/2018] (6) In any appeal under this section against any decision of the Authority in relation to the conviction of an appellant for an offence, the Minister may accept the appellant’s conviction as final and conclusive. [25/2018]


document_id: fa-1981
provision_ref: s28A
section: 28A
title: Disposal of unclaimed films
content:
28A. Any film that is retained by the Authority under section 14(3) or deposited with the Authority under section 18(7), and is not claimed by the applicant for classification or re-classification of the film may be destroyed or otherwise disposed of as the Authority thinks fit — ( a ) within 6 months after the date of the Authority’s decision under section 15; or ( b ) if there is any appeal under section 24, within 6 months after the date of the decision of the Minister or the Committee of Appeal (as the case may be) on appeal. [25/2018]


document_id: fa-1981
provision_ref: s29
section: 29
title: Offences involving dealings in obscene films
content:
29. —(1) Any person who makes or reproduces any obscene film (whether or not for the purposes of exhibition or distribution to any other person), knowing or having reasonable cause to believe the film to be obscene shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $40,000 or to imprisonment for a term not exceeding 2 years or to both; and ( b ) in the case of a second or subsequent conviction, to a fine not exceeding $100,000 or to imprisonment for a term not exceeding 2 years or to both. [25/2018] (2) Any person who imports any obscene film knowing or having reasonable cause to believe the film to be obscene shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $40,000 or to imprisonment for a term not exceeding 12 months or to both; and ( b ) in the case of a second or subsequent conviction, to a fine not exceeding $100,000 or to imprisonment for a term not exceeding 2 years or to both. [25/2018] (3) Any person who distributes, or has in his or her possession for the purposes of distributing, to any other person an obscene film knowing or having reasonable cause to believe the film to be obscene shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $80,000 or to imprisonment for a term not exceeding 2 years or to both; and ( b ) in the case of a second or subsequent conviction, to a fine not exceeding $100,000 or to imprisonment for a term not exceeding 2 years or to both. [25/2018] (4) Any person who exhibits or has in his or her possession for the purposes of exhibiting to any other person an obscene film knowing or having reasonable cause to believe the film to be obscene shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $40,000 or to imprisonment for a term not exceeding 2 years; and ( b ) in the case of a second or subsequent conviction, to a fine not exceeding $100,000 or to imprisonment for a term not exceeding 2 years or to both. [25/2018]


document_id: fa-1981
provision_ref: s30
section: 30
title: Possession of obscene films
content:
30. —(1) Any person who has in his or her possession any obscene film shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $20,000 or to imprisonment for a term not exceeding 6 months or to both. [25/2018] (2) Any person who has in his or her possession any obscene film knowing or having reasonable cause to believe the film to be obscene shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $40,000 or to imprisonment for a term not exceeding 12 months or to both; and ( b ) in the case of a second or subsequent conviction, to a fine not exceeding $80,000 or to imprisonment for a term not exceeding 2 years or to both. [25/2018]


document_id: fa-1981
provision_ref: s31
section: 31
title: Advertising obscene films
content:
31. —(1) Any person who, for the purposes of distributing or exhibiting any obscene film to any other person, advertises the film by any means shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $5,000 or to imprisonment for a term not exceeding 6 months or to both. [25/2018] (2) Any person who, for the purposes of distributing or exhibiting any obscene film to any other person, advertises the film by any means knowing or having reasonable cause to believe the film to be obscene shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $50,000 or to imprisonment for a term not exceeding 12 months or to both; and ( b ) in the case of a second or subsequent conviction, to a fine not exceeding $100,000 or to imprisonment for a term not exceeding 2 years or to both. [25/2018] (3) In this section — “advertise”, in relation to a film, includes — ( a ) publicly exhibiting, displaying or supplying any advertising poster relating to the film; ( b ) announcing orally or by any means (including electronic transmission, fax transmission, electronic mail or other similar means of communication) other than by broadcasting any offer to sell or supply the film; or ( c ) distributing or circulating any advertisement relating to the film; “advertisement” includes any advertising poster, circular, catalogue or price list; “advertising poster” means any poster, placard, video slick, photograph or other pictorial matter that is intended for use in the advertising or exhibition of a film to the public and includes a miniature representation or enlarged representation of the whole or part of any such poster. [25/2018] (4) For the purposes of this section, an advertisement is deemed to be an advertisement publicly displayed if it is displayed in or so as to be visible from — ( a ) any public road; or ( b ) any place to which the public have or are permitted to have access (whether on payment or otherwise).


document_id: fa-1981
provision_ref: s32
section: 32
title: Offences involving children and young persons
content:
32. —(1) Any person who causes or procures any child or young person or, having custody, charge or care of a child or young person, allows that child or young person to commit or abet in the commission of any offence mentioned in section 29, 30 or 31 shall be guilty of an offence and shall be liable on conviction — ( a ) to a fine not exceeding $80,000 or to imprisonment for a term not exceeding 12 months or to both; and ( b ) in the case of a second or subsequent conviction, to a fine not exceeding $100,000 or to imprisonment for a term not exceeding 2 years or to both. [ 25/2018] (2) If it is proved that a child has committed or abetted in the commission of any offence mentioned in section 30(1) or 31(1), the person having the custody, charge or care of the child at the time the offence was committed is presumed, until the contrary is proved, to have allowed the child to commit or abet in the commission of the offence.


document_id: fa-1981
provision_ref: s33
section: 33
title: Making, distribution and exhibition of party political films
content:
33. Any person who — ( a ) imports any party political film; ( b ) makes or reproduces any party political film; ( c ) distributes, or has in his or her possession for the purposes of distributing, to any other person any party political film; or ( d ) exhibits, or has in his or her possession for the purposes of exhibiting, to any other person any party political film, knowing or having reasonable cause to believe the film to be a party political film shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $100,000 or to imprisonment for a term not exceeding 2 years.


document_id: fa-1981
provision_ref: s34
section: 34
title: Powers for enforcement purposes
content:
34. —(1) This section provides for the enforcement powers that an enforcement officer may exercise for either or both of the following purposes: ( a ) determining whether the following are being complied with: (i) the provisions of this Act and its subsidiary legislation; (ii) any conditions imposed on a licence or classification certificate; ( b ) determining whether information furnished to the Authority under a provision of this Act or its subsidiary legislation is correct. [25/2018] (2) However, an enforcement officer is not authorised by this section — ( a ) to enter a place for a purpose in subsection (1) unless — (i) the occupier of the place consents to the entry; or (ii) the entry is made under a warrant of a court; ( b ) to search a place for a purpose in subsection (1) unless the search is made under a warrant of a court; or ( c ) to seize any thing in or on any place for a purpose in subsection (1) unless the seizure is made under a warrant of a court. [25/2018] (3) Subject to subsection (2), the following are the enforcement powers that an enforcement officer may exercise in relation to a place for a purpose in subsection (1): ( a ) to enter any place; ( b ) to search the place and any thing in or on the place; ( c ) to examine or observe any activity conducted in or on the place; ( d ) to inspect and examine any thing in or on the place; ( e ) to make any still or moving image or any recording of the place or any thing in or on the place; ( f ) to inspect any document in the place and to take extracts from, or make copies of, any such document; ( g ) to take into or onto the place such equipment and materials as the enforcement officer requires for the purpose of exercising powers in relation to the place; ( h ) to operate electronic equipment in or on the place; ( i ) to secure a thing for a period not exceeding 24 hours if the thing is found in or on the place during the exercise of enforcement powers and the enforcement officer believes on reasonable grounds that — (i) the thing is evidential material, or is intended to be used for the purpose of contravening any conditions imposed on a licence or classification certificate; and (ii) it is necessary to secure the thing in order to prevent it from being concealed, lost or destroyed before a warrant to seize the thing is obtained; ( j ) to seize any thing that is found in or on the place during the exercise of enforcement powers that the enforcement officer reasonably suspects is evidential material; ( k ) to require any individual found in or on the place to answer any question (to the best of that individual’s knowledge, information and belief) and to furnish any document or information. [25/2018] (4) In addition, an enforcement officer may, for a purpose in subsection (1), require any person in Singapore whom the enforcement officer has reason to believe to be acquainted with any facts or circumstances relevant to that purpose to attend before the enforcement officer to answer any question (to the best of that person’s knowledge, information and belief) and to furnish any document or information. [25/2018] (5) The power under subsection (3)( h ) to operate electronic equipment in or on any place includes the power — ( a ) to use a disk, tape or other storage device that is in or on the place and can be used with the equipment or in association with the equipment; ( b ) to operate electronic equipment in or on the place to put the relevant data in documentary form and remove the documents so produced from the place; and ( c ) to operate electronic equipment in or on the place to transfer the relevant data to a disk, tape or other storage device that — (i) is brought to the place for the exercise of the power; or (ii) is in or on the place and the use of which for that purpose has been agreed in writing by the occupier of the place, and to remove the disk, tape or other storage device from that place. [25/2018] (6) The power under subsection (3)( i ) to secure any thing which is found during the exercise of enforcement powers in or on any place includes the power — ( a ) to secure the thing by locking it up, placing a guard or any other means; or ( b ) to prohibit any person from dealing with the thing. [25/2018] (7) The power under subsection (3)( j ) to seize any thing under warrant includes the power to seize any thing which is similarly so found that is not evidential material of the kind specified in the warrant if — ( a ) in the course of searching for the kind of evidential material specified in the warrant, the enforcement officer finds the thing; and ( b ) the thing is evidential material for another offence under this Act or its subsidiary legislation. [25/2018] (8) Sections 370, 371 and 372 of the Criminal Procedure Code 2010 apply, with the necessary modifications, when an enforcement officer seizes any thing under subsection (3)( j ). [25/2018] (9) However, an individual or person is not subject to a requirement under subsection (3)( k ) or (4) if — ( a ) the individual or person does not possess the document or information required; or ( b ) the individual or person has taken all reasonable steps available to the individual or person to obtain the document or information required and has been unable to obtain it. [25/2018] (10) Any statement made by any individual in answer to a question under subsection (3)( k ) or (4) must — ( a ) be reduced to writing; ( b ) be read over to the individual; ( c ) if the individual does not understand English, be interpreted in a language that the individual understands; and ( d ) after correction, if necessary, be signed by that individual. [25/2018] (11) An enforcement officer may be assisted by other individuals in exercising enforcement powers under this section or section 34A if that assistance is necessary and reasonable. [25/2018] (12) The references in this section to documents or information include a reference to any film (whether classified or not) and any advertisement for a film. [25/2018]


document_id: fa-1981
provision_ref: s34A
section: 34A
title: Special enforcement powers
content:
34A. —(1) Despite section 34, a police officer or an enforcement officer may, without warrant, exercise the enforcement powers in that section and special enforcement powers under this section, in relation to a place where the police officer or enforcement officer — ( a ) suspects on reasonable grounds that any of the following offences has been or is being committed in or on that place: (i) an offence under section 6(2) for contravening section 6(1)( c ); (ii) an offence under section 21(1), 29(1), (2), (3) or (4), 30(1) or (2), 31(1) or (2), 32(1), 33 or 35(2); or ( b ) has reasonable cause to believe that — (i) evidence of the commission of an offence mentioned in paragraph ( a )(i) or (ii) can be found in or on that place; and (ii) it is necessary to secure the evidence in order to prevent it from being concealed, lost or destroyed. [25/2018] (2) The following are the special enforcement powers that a police officer or an enforcement officer may exercise in relation to a place under subsection (1): ( a ) to enter the place, using such force as is reasonably necessary to obtain entry to the place, and to search the place; ( b ) to detain any individual found in or on the place until the search of the place is complete; ( c ) to seize any film, advertisement for a film, document, or equipment that is used in the commission of any offence specified in subsection (1)( a ) and found in or on the place, and that the officer reasonably suspects is evidential material. [25/2018] (3) Any person claiming any thing seized under this section or section 34 may, within 48 hours after the seizure, complain about it to a Magistrate, who may determine the matter as follows: ( a ) by confirming or disallowing the seizure in whole or part; ( b ) by ordering that the thing seized be restored to its owner, subject to such condition which the Magistrate may think fit to impose to ensure that the seized thing is preserved for any purpose for which it may subsequently be required; ( c ) by ordering payment to be made to the owner of the thing seized of an amount that the Magistrate considers will compensate the owner for any loss or depreciation resulting from the seizure. [25/2018] (4) Subject to subsection (3), sections 370, 371 and 372 of the Criminal Procedure Code 2010 apply, with the necessary modifications, when a police officer or an enforcement officer seizes any thing under this section or section 34. [25/2018]


document_id: fa-1981
provision_ref: s34B
section: 34B
title: False information and obstruction of performance of official duties
content:
34B. —(1) If — ( a ) a person furnishes a document or gives information (whether orally or in writing) to the Minister, the Authority, the Committee of Appeal, a classification officer or a licensing officer; ( b ) the document is furnished, or the statement is made or the information is given, for or in connection with — (i) an application (whether for that person or for another) for a licence, a permit under section 12 or a renewal of such a licence or permit; (ii) an application (whether for that person or for another) for approval under section 22A; (iii) an application to register as a film content assessor under section 19, or to renew such registration; (iv) a representation made under section 7(5) or 20B(3), or pursuant to a written notice under section 10A(5) or 11(3); or (v) an appeal under section 24 or 28; ( c ) the document, statement or information is false or misleading, or the statement or information omits any matter or thing without which the statement or information (as the case may be) is misleading; and ( d ) the person knows, or ought reasonably to know, that the document is false or misleading, or that the statement or information is as described in paragraph ( c ), the person shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. [25/2018] (2) Subsection (1) does not apply if the document, statement or information is not false or misleading in a material particular, or if the statement or information does not omit any matter or thing without which the statement or information (as the case may be) is misleading in a material particular. [25/2018] (3) A person who knowingly obstructs or prevents, or attempts to obstruct or prevent — ( a ) a classification officer or a licensing officer in the discharge of his or her powers or duties under this Act or its subsidiary legislation; ( b ) an enforcement officer from exercising any of the officer’s powers under section 23, 34 or 34A; or ( c ) a police officer from exercising any of the officer’s powers under section 34A, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. [25/2018] (4) A person — ( a ) who intentionally alters, suppresses or destroys any document or information that the person has been required by or under section 34(3)( k ) or (4) to furnish; or ( b ) who, in furnishing any document or information required by or under section 34(3)( k ) or (4), makes any statement that the person knows or ought reasonably to know that, or is reckless as to whether, it is false or misleading in a material particular, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 12 months or to both. [25/2018] (5) A person who, without reasonable excuse, fails to do anything required of the person under section 34(3)( k ) or (4) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000. [25/2018] (6) To avoid doubt, for the purposes of subsection (5), it is a reasonable excuse for a person to refuse or fail to produce any document, furnish any information or answer any question if doing so might tend to incriminate that person. [25/2018]


document_id: fa-1981
provision_ref: s35
section: 35
title: Minister may prohibit possession, exhibition or distribution of any film
content:
35. —(1) Despite the provisions of this Act if the Minister is of the opinion that the possession, exhibition or distribution of any film would be contrary to the public interest, the Minister may by order in the Gazette prohibit the possession, exhibition or distribution of that film by any person. [25/2018] (2) Any person who has in his or her possession or who exhibits or distributes any film the possession, exhibition or distribution of which has been prohibited under subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $10,000 or to imprisonment for a term not exceeding 2 years or to both, and the film shall be destroyed or otherwise disposed of as the Minister thinks fit. [25/2018]


document_id: fa-1981
provision_ref: s36
section: 36
title: Protection from personal liability
content:
36. No liability shall lie personally against any member of the Committee of Appeal who, acting in good faith and with reasonable care, does or omits to do anything in the execution or purported execution of this Act. [25/2018]


document_id: fa-1981
provision_ref: s37
section: 37
title: Service of documents
content:
37. —(1) A document that is permitted or required by or under this Act to be served on a person may be served as described in this section. [25/2018] (2) A document may be served on an individual — ( a ) by giving it to the individual personally; ( b ) by sending it by prepaid registered post to the address specified by the individual for the service of documents or, if no address is so specified, the individual’s residential address or business address; ( c ) by leaving it at the individual’s residential address with an adult person apparently residing there, or at the individual’s business address with an adult person apparently employed there; ( d ) by affixing a copy of the document in a conspicuous place at the individual’s residential or business address; ( e ) by sending it by fax to the fax number given by the individual as the fax number for the service of documents under this Act; or ( f ) by sending it by email to the individual’s email address. [25/2018] (3) A document may be served on a partnership (other than a limited liability partnership) — ( a ) by giving it to any partner or other similar officer of the partnership; ( b ) by leaving it at, or by sending it by prepaid registered post to, the partnership’s business address; ( c ) by sending it by fax to the fax number used at the partnership’s business address; or ( d ) by sending it by email to the partnership’s email address. [25/2018] (4) A document may be served on a body corporate (including a limited liability partnership) or an unincorporated association — ( a ) by giving it to the secretary or other similar officer of the body corporate or unincorporated association, or the limited liability partnership’s manager; ( b ) by leaving it at, or by sending it by prepaid registered post to, the body corporate’s or unincorporated association’s registered office or principal office in Singapore; ( c ) by sending it by fax to the fax number used at the body corporate’s or unincorporated association’s registered office or principal office in Singapore; or ( d ) by sending it by email to the body corporate’s or unincorporated association’s email address. [25/2018] (5) Service of a document on a person under this section takes effect — ( a ) if the document is sent by fax and a notification of successful transmission is received, on the day of the transmission; ( b ) if the document is sent by email, at the time that the email becomes capable of being retrieved by the person; and ( c ) if the document is sent by prepaid registered post, on the second day after the day the document was posted (even if it is returned undelivered). [25/2018] (6) A document may be served on a person under this Act by email only with that person’s prior written consent. [25/2018] (7) This section does not apply to documents to be served in proceedings in court. [25/2018] (8) In this section — “business address” means — ( a ) in the case of an individual, the individual’s usual or last known place of business in Singapore; and ( b ) in the case of a partnership (other than a limited liability partnership), the partnership’s principal or last known place of business in Singapore; “email address” means the last email address given by the addressee concerned as the email address for the service of documents under this Act; “residential address” means an individual’s usual or last known place of residence in Singapore. [25/2018]


document_id: fa-1981
provision_ref: s38
section: 38
title: Offences by corporations
content:
38. —(1) Where, in a proceeding for an offence under this Act, it is necessary to prove the state of mind of a corporation in relation to a particular conduct, evidence that — ( a ) an officer, employee or agent of the corporation engaged in that conduct within the scope of his or her actual or apparent authority; and ( b ) the officer, employee or agent had that state of mind, is evidence that the corporation had that state of mind. [25/2018] (2) Where a corporation commits an offence under this Act, a person — ( a ) who is — (i) an officer of the corporation; or (ii) an individual involved in the management of the corporation and in a position to influence the conduct of the corporation in relation to the commission of the offence; and ( b ) who — (i) consented or connived, or conspired with others, to effect the commission of the offence; (ii) is in any other way, whether by act or omission, knowingly concerned in, or is party to, the commission of the offence by the corporation; or (iii) knew or ought reasonably to have known that the offence by the corporation (or an offence of the same type) would be or is being committed, and failed to take all reasonable steps to prevent or stop the commission of that offence, shall be guilty of that same offence as is the corporation, and shall be liable on conviction to be punished accordingly. [25/2018] (3) A person mentioned in subsection (2) may rely on a defence that would be available to the corporation if it were charged with the offence with which the person is charged and, in doing so, the person bears the same burden of proof that the corporation would bear. [25/2018] (4) To avoid doubt, this section does not affect the application of — ( a ) Chapters 5 and 5A of the Penal Code 1871; or ( b ) the Evidence Act 1893 or any other law or practice regarding the admissibility of evidence. [25/2018] (5) To avoid doubt, subsection (2) also does not affect the liability of the corporation for an offence under this Act, and applies whether or not the corporation is convicted of the offence. [25/2018] (6) In this section — “corporation” includes a limited liability partnership within the meaning of section 2(1) of the Limited Liability Partnerships Act 2005; “officer”, in relation to a corporation, means any director, partner, chief executive, manager, secretary or other similar officer of the corporation, and includes — ( a ) any person purporting to act in any such capacity; and ( b ) for a corporation whose affairs are managed by its members, any of those members as if the member were a director of the corporation; “state of mind” of a person includes — ( a ) the knowledge, intention, opinion, belief or purpose of the person; and ( b ) the person’s reasons for the intention, opinion, belief or purpose. [25/2018] (7) This section does not apply to or in relation to an offence under this Act or any of its subsidiary legislation committed by a corporation before 29 April 2019. [25/2018]


document_id: fa-1981
provision_ref: s38A
section: 38A
title: Offences by unincorporated associations or partnerships
content:
38A. —(1) Where, in a proceeding for an offence under this Act, it is necessary to prove the state of mind of an unincorporated association or a partnership in relation to a particular conduct, evidence that — ( a ) an employee or agent of the unincorporated association or partnership engaged in that conduct within the scope of his or her actual or apparent authority; and ( b ) the employee or agent had that state of mind, is evidence that the unincorporated association or partnership had that state of mind. [25/2018] (2) Where an unincorporated association or a partnership commits an offence under this Act, a person — ( a ) who is — (i) an officer of the unincorporated association or a member of its governing body; (ii) a partner in the partnership; or (iii) an individual involved in the management of the unincorporated association or partnership and in a position to influence the conduct of that unincorporated association or partnership in relation to the commission of the offence; and ( b ) who — (i) consented or connived, or conspired with others, to effect the commission of the offence; (ii) is in any other way, whether by act or omission, knowingly concerned in, or is party to, the commission of the offence by the unincorporated association or partnership; or (iii) knew or ought reasonably to have known that the offence by the unincorporated association or partnership (or an offence of the same type) would be or is being committed, and failed to take all reasonable steps to prevent or stop the commission of that offence, shall be guilty of that same offence as is the unincorporated association or partnership, and shall be liable on conviction to be punished accordingly. [25/2018] (3) A person mentioned in subsection (2) may rely on a defence that would be available to the unincorporated association or partnership if it were charged with the offence with which the person is charged and, in doing so, the person bears the same burden of proof as that unincorporated association or partnership would bear. [25/2018] (4) To avoid doubt, this section does not affect the application of — ( a ) Chapters 5 and 5A of the Penal Code 1871; or ( b ) the Evidence Act 1893 or any other law or practice regarding the admissibility of evidence. [25/2018] (5) To avoid doubt, subsection (2) also does not affect the liability of an unincorporated association or a partnership for an offence under this Act, and applies whether or not that unincorporated association or partnership is convicted of the offence. [25/2018] (6) In this section — “officer”, in relation to an unincorporated association (other than a partnership), means the president, the secretary, or any member of the committee of the unincorporated association, and includes — ( a ) any person holding a position analogous to that of president, secretary or member of a committee of the unincorporated association; and ( b ) any person purporting to act in any such capacity; “partner” includes a person purporting to act as a partner; “state of mind” of a person includes — ( a ) the knowledge, intention, opinion, belief or purpose of the person; and ( b ) the person’s reasons for the intention, opinion, belief or purpose. [25/2018] (7) This section does not apply to or in relation to an offence under this Act or any of its subsidiary legislation committed by an unincorporated association or a partnership before 29 April 2019. [25/2018]


document_id: fa-1981
provision_ref: s38B
section: 38B
title: Composition of offences
content:
38B. —(1) An enforcement officer may compound any offence under this Act that is prescribed as a compoundable offence, by collecting from a person reasonably suspected of having committed the offence a sum not exceeding the lower of the following: ( a ) one half of the amount of the maximum fine that is prescribed for the offence; ( b ) $5,000. [25/2018] (2) On payment of the sum of money, no further proceedings are to be taken against that person in respect of the offence. [25/2018] (3) All sums collected under this section must be paid into the Consolidated Fund. [25/2018]


document_id: fa-1981
provision_ref: s39
section: 39
title: Court for trial of offence
content:
39. Any offence under this Act may be tried by a District Court or a Magistrate’s Court and that Court, despite any other written law, has jurisdiction to impose the maximum penalty provided for by this Act.


document_id: fa-1981
provision_ref: s39A
section: 39A
title: Payment of fees, etc.
content:
39A. Except as otherwise provided in this Act or any other Act, all fees and other moneys collected under this Act or its subsidiary legislation are to be paid to the Authority. [22/2016]


document_id: fa-1981
provision_ref: s40
section: 40
title: Exemption from Act
content:
40. —(1) This Act does not apply to or in relation to any film that is made, distributed or exhibited by or under the direction and control of the Government. [25/2018] (2) The Minister may, by notification in the Gazette and subject to such conditions as the Minister thinks fit to specify in that notification, exempt from all or any of the provisions of this Act — ( a ) any person or class of persons; ( b ) any film or class of films; or ( c ) any advertisement for a film or class of such advertisements. [25/2018]


document_id: fa-1981
provision_ref: s41
section: 41
title: Regulations
content:
41. —(1) The Minister may make regulations for, or in respect of, every purpose which is considered necessary for carrying out the provisions of this Act and for the prescribing of any matter that is authorised or required under this Act to be so prescribed. (2) Without limiting subsection (1), the Minister may by such regulations — ( a ) prescribe fees to be charged under this Act; ( b ) prescribe the duties of licensees in importing, distributing or publicly exhibiting films in the course of business; ( c ) prescribe the kind and amount of security to be given under this Act; ( d ) provide that all cinemas or any class of cinemas must show not less than the prescribed number or prescribed proportion of films of a specified class or from a specified country of origin; ( e ) provide that all cinemas or any class of cinemas must show not more than a prescribed number or a prescribed proportion of films of a specified class or from a specified country of origin; ( f ) prescribe the manner in which classification labels, classification ratings and consumer advice (if any) are to be affixed to a film, displayed in any film, or displayed in an advertisement for a film; ( g ) require the appointment by licensees of film content assessors registered under section 19; ( h ) prescribe the duties of persons registered as film content assessors in connection with the assessment of the content of films; ( i ) prescribe circumstances in which an assessment by a film content assessor is taken to be misleading, incorrect or grossly inadequate, or to contain misleading, incorrect or grossly inadequate information; ( j ) provide for the manner in which an appeal may be made to the Minister or the Committee of Appeal under section 24 or 28 (as the case may be) and the procedure to be adopted in hearing such appeals; ( k ) provide that any contravention of any provision of the regulations shall be an offence punishable with a fine not exceeding $5,000; and ( l ) provide for any transitional, saving and other consequential, incidental and supplemental provisions that the Minister considers necessary or expedient. [25/2018]


document_id: faa-2001
provision_ref: s2
chapter: PART 1 - PRELIMINARY
section: 2
title: Interpretation
content:
2. —(1) In this Act, unless the context otherwise requires — “advocate and solicitor” means an advocate and solicitor of the Supreme Court or a foreign lawyer as defined in section 2(1) of the Legal Profession Act 1966; “appointed representative”, in respect of a type of financial advisory service, has the meaning given to that expression by section 23, and “appointed representative” means an appointed representative in respect of any type of financial advisory service; “approved exchange” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “approved holding company” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “auditor” means a public accountant who is registered or deemed to be registered under the Accountants Act 2004; “Authority” means the Monetary Authority of Singapore established under the Monetary Authority of Singapore Act 1970; “book” includes any record, register, document or other record of information and any account or accounting record, however compiled, recorded or stored, whether in written or printed form or on microfilm or by electronic process or otherwise; “capital markets products” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “collective investment scheme” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “commodity” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “company” has the meaning given by section 4(1) of the Companies Act 1967; “connected person”, in relation to — ( a ) an individual, means — (i) the individual’s spouse, son, adopted son, stepson, daughter, adopted daughter, stepdaughter, father, stepfather, mother, stepmother, brother, stepbrother, sister or stepsister; and (ii) a firm, a limited liability partnership or a corporation in which the individual or any of the persons mentioned in sub‑paragraph (i) has control of at least 20% of the voting power in the firm, limited liability partnership or corporation, whether such control is exercised individually or jointly; or ( b ) a firm, a limited liability partnership or a corporation, means another firm, limited liability partnership or corporation in which the firstmentioned firm, limited liability partnership or corporation has control of at least 20% of the voting power in that other firm, limited liability partnership or corporation, and a reference in this Act to a person connected to another person is to be construed accordingly; “corporation” has the meaning given by section 4(1) of the Companies Act 1967; “dealing in capital markets products” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “director” has the meaning given by section 4(1) of the Companies Act 1967; “executive officer”, in relation to a licensed financial adviser, means any person, by whatever name called, who is — ( a ) in the direct employment of, or acting for or by arrangement with, the licensed financial adviser; and ( b ) concerned with or takes part in the management of the licensed financial adviser on a day-to-day basis; [Act 12 of 2024 wef 30/08/2024] “exempt financial adviser” means a financial adviser who is exempt under section 20(1) from holding a financial adviser’s licence; “financial adviser” means a person who carries on a business of providing any financial advisory service, but does not include any person specified in the First Schedule; “financial adviser’s licence” means a licence granted under section 10 in respect of a financial adviser, and “licensed financial adviser” is to be construed accordingly; “financial advisory service” means all or any of the services specified in the Second Schedule; “financial journalist” means a person who contributes advice concerning specified products, or prepares analyses or reports concerning specified products, for publication in a newspaper, but does not include such person or a person belonging to such class of persons as may be prescribed; “financial year” has the meaning given by section 4(1) of the Companies Act 1967; “firm” has the meaning given by section 2(1) of the Business Names Registration Act 2014; “futures contract” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “independent sales audit unit”, in relation to a licensed financial adviser, means a unit of the licensed financial adviser which — ( a ) audits the quality of the provision of financial advisory services by representatives of the licensed financial adviser; and ( b ) is independent from all units of the licensed financial adviser which provide financial advisory services; “investment product” means — ( a ) any capital markets products; ( b ) spot foreign exchange contracts other than for the purposes of leveraged foreign exchange trading; ( c ) any life policy; or ( d ) any other product as may be prescribed; “leveraged foreign exchange trading” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “licensed insurer” means an insurer who is for the time being licensed under section 11 of the Insurance Act 1966; “life policy” has the meaning given by the First Schedule to the Insurance Act 1966, but does not include any contract of reinsurance; “limited liability partnership” has the meaning given by section 2(1) of the Limited Liability Partnerships Act 2005; “manager” and “partner”, in relation to a limited liability partnership, have the respective meanings given by section 2(1) of the Limited Liability Partnerships Act 2005; “newspaper” has the meaning given by section 2(1) of the Newspaper and Printing Presses Act 1974; “officer” has the meaning given by section 4(1) of the Companies Act 1967; “organised market” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “prescribed written law” means — ( a ) for the purpose of Division 3 of Part 6 — this Act or any of the following Acts, and any subsidiary legislation made under this Act or those Acts: (i) Banking Act 1970; (ii) Credit Bureau Act 2016; (iii) Deposit Insurance and Policy Owners’ Protection Schemes Act 2011; (iv) Finance Companies Act 1967; (v) Financial Holding Companies Act 2013; (vi) Financial Services and Markets Act 2022; (vii) Insurance Act 1966; (viii) Monetary Authority of Singapore Act 1970; (ix) Payment Services Act 2019; (x) Securities and Futures Act 2001; (xi) Trust Companies Act 2005; (xii) such other written law as the Authority may prescribe by regulations made under section 135; and ( b ) for the purpose of any other provision — this Act or any of the following Acts, and any subsidiary legislation made under this Act or those Acts: (i) Banking Act 1970; (ii) Finance Companies Act 1967; (iii) Financial Services and Markets Act 2022; (iv) Insurance Act 1966; (v) Monetary Authority of Singapore Act 1970; (vi) Payment Services Act 2019; (vii) Securities and Futures Act 2001; (viii) such other written law as the Authority may prescribe by regulations made under section 135; [Act 12 of 2024 wef 24/01/2025] “principal”, in relation to a representative, means a person whom the representative is in the direct employment of, is acting for or is acting by arrangement with, and on behalf of whom the representative provides or will provide any financial advisory service; “prohibition order” means, unless the context otherwise requires — ( a ) a prohibition order made under section 68(1) as in force immediately before the date of commencement of section 200(1)( b ) and (2) to (7) of the Financial Services and Markets Act 2022; ( b ) a prohibition order made under section 68(1) as in force immediately before the date of commencement of section 200(1)( b ) and (2) to (7) of the Financial Services and Markets Act 2022, and as continued by section 217(2) of the Financial Services and Markets Act 2022; or ( c ) a prohibition order made under section 7(1) of the Financial Services and Markets Act 2022; [Act 18 of 2022 wef 31/07/2024] “provisional representative”, in respect of a type of financial advisory service, has the meaning given to that expression by section 24, and “provisional representative” means a provisional representative in respect of any type of financial advisory service; “public register of representatives” means the register of that name under section 73(3); “recognised market operator” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “record” means information that is inscribed, stored or otherwise fixed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form; “regulated financial institution” means a person who carries on a business the conduct of which is regulated or authorised by the Authority or, if it is carried on in Singapore, would be regulated or authorised by the Authority; [Act 12 of 2024 wef 30/08/2024] “regulatory authority”, in relation to a foreign country or jurisdiction, means an authority of the foreign country or jurisdiction exercising any function that corresponds to a regulatory function of the Authority under this Act, the Monetary Authority of Singapore Act 1970 or any of the written laws set out in the Schedule to that Act; [Act 12 of 2024 wef 30/08/2024] “related corporation” has the meaning given by section 4(1) of the Companies Act 1967; “representative” means a person, by whatever name called, in the direct employment of, or acting for, or by arrangement with, a financial adviser, who performs on behalf of the financial adviser any financial advisory service, whether or not the person is remunerated, and whether the person’s remuneration (if any) is by way of salary, wages, commission or otherwise, and includes any officer of the financial adviser who performs for the financial adviser any financial advisory service whether or not the officer is remunerated, and whether the officer’s remuneration (if any) is by way of salary, wages, commission or otherwise; “securities” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “securities-based derivatives contract” has the meaning given by section 2(1) of the Securities and Futures Act 2001; “share” has the meaning given by section 4(1) of the Companies Act 1967; “specified products” means securities, specified securities‑based derivatives contracts or units in a collective investment scheme; “specified securities-based derivatives contract” and “spot foreign exchange contract” have the meanings given by section 2(1) of the Securities and Futures Act 2001; “substantial shareholder” has the meaning given by section 2(6) of the Securities and Futures Act 2001; “supervisor”, in relation to a financial adviser, means any person (by whatever name described) who — ( a ) is in the direct employment of, is acting for, or has an arrangement with the financial adviser; and ( b ) is responsible, whether directly or indirectly, for the supervision or management of the conduct and performance of any representative of the financial adviser or another supervisor; “unit” means a group of individuals carrying out a common activity of a licensed financial adviser, each of whom is directly employed by, is acting for, or has an arrangement with the licensed financial adviser; “unit in a collective investment scheme” or “units in a collective investment scheme” has the meaning given by “unit” in section 2(1) of the Securities and Futures Act 2001; “voting share” has the meaning given by section 4(1) of the Companies Act 1967; “written direction” means a written direction issued under section 67. [35/2007; 1/2009; 35/2012; 11/2013; 29/2014; 18/2015; 4/2017; 2/2019] (2) The definitions in the First Schedule to the Insurance Act 1966 have effect for the construction of references to life policies in this Act.


document_id: faa-2001
provision_ref: s3
chapter: PART 1 - PRELIMINARY
section: 3
title: Associated person
content:
3. —(1) Unless the context otherwise requires, any reference in this Act to a person associated with another person is to be construed as a reference to — ( a ) where the other person is a corporation — (i) a director or secretary of the corporation; (ii) a related corporation; or (iii) a director or secretary of such a related corporation; ( b ) where the matter to which the reference relates is the extent of a power to exercise, or to control the exercise of, the voting power attached to voting shares in a corporation, a person with whom the other person has entered into, or proposes to enter into, an agreement, arrangement, understanding or undertaking, whether formal or informal, or express or implied — (i) by reason of which either of those persons may exercise, directly or indirectly control the exercise of, or substantially influence the exercise of, any voting power attached to a share in the corporation; (ii) with a view to controlling or influencing the composition of the board of directors, or the conduct of affairs, of the corporation; or (iii) under which either of those persons may acquire from the other of them shares in the corporation or may be required to dispose of such shares in accordance with the directions of the other of them, except that, in relation to a matter relating to shares in a corporation, a person may be an associate of the corporation and the corporation may be an associate of a person; ( c ) a person with whom the other person is acting, or proposes to act, in concert in relation to the matter to which the reference relates; ( d ) where the matter to which the reference relates is a matter, other than the extent of a power to exercise, or to control the exercise of, the voting power attached to voting shares in a corporation — (i) subject to subsection (2), a person who is a director of a corporation of which the other person is a director; or (ii) a trustee of a trust in relation to which the other person benefits or is capable of benefiting otherwise than by reason of transactions entered into in the ordinary course of business in connection with the lending of money; ( e ) a person with whom the other person is, according to any subsidiary legislation made under this Act, to be regarded as associated in respect of the matter to which the reference relates; ( f ) a person with whom the other person is, or proposes to become, associated, whether formally or informally, in any other way in respect of the matter to which the reference relates; or ( g ) where the other person has entered into, or proposes to enter into, a transaction, or has done, or proposes to do, any other act or thing, with a view to becoming associated with a person as mentioned in paragraph ( a ), ( b ), ( c ), ( d ), ( e ) or ( f ), that last mentioned person. (2) Where, in proceedings under this Act, it is alleged that a person mentioned in subsection (1)( d )(i) was associated with another person at a particular time, the firstmentioned person is not to be considered to be so associated in relation to a matter to which the proceedings relate unless the person alleging the association proves that the firstmentioned person at that time knew or ought reasonably to have known the material particulars of that matter. (3) A person is not to be taken to be associated with another person by virtue of subsection (1)( b ), ( c ), ( e ) or ( f ) by reason only of one or more of the following: ( a ) that one of those persons provides advice to, or acts on behalf of, the other person in the proper performance of the functions attaching to the person’s professional capacity or to the person’s business relationship with the other person; ( b ) that one of those persons, a customer, gives specific instructions to the other, whose ordinary business includes dealing in capital markets products, to acquire shares on the customer’s behalf in the ordinary course of that business; ( c ) that one of those persons has sent, or proposes to send, to the other, a take‑over offer, or has made, or proposes to make, offers under a take‑over announcement, within the meaning of the Take‑over Code issued under section 321(1) of the Securities and Futures Act 2001, in relation to shares held by the other; ( d ) that one of those persons has appointed the other, otherwise than for valuable consideration given by the other or by an associate of the other, to vote as a proxy or representative at a meeting of members, or of a class of members, of a corporation. [4/2017]


document_id: faa-2001
provision_ref: s4
chapter: PART 1 - PRELIMINARY
section: 4
title: Interest in specified products
content:
4. —(1) Subject to this section, a person has an interest in specified products if the person has authority (whether formal or informal, or express or implied) to dispose of, or to exercise control over the disposal of, those specified products. [4/2017] (2) For the purposes of subsection (1), it is immaterial that the authority of a person to dispose of, or to exercise control over the disposal of, particular specified products is or is capable of being made subject to restraint or restriction. [4/2017] (3) Where any property held in trust consists of or includes specified products and a person knows, or has reasonable grounds for believing, that the person has an interest under the trust, the person is deemed to have an interest in those specified products. [4/2017] (4) Where a corporation has, or is by the provisions of this section deemed to have, an interest in a specified product and — ( a ) the corporation is, or its directors are, accustomed or under an obligation, whether formal or informal, to act in accordance with the directions, instructions or wishes of a person; or ( b ) a person has a controlling interest in the corporation, that person is deemed to have an interest in that specified product. [4/2017] (5) Where a corporation has, or is by the provisions of this section (apart from this subsection) deemed to have, an interest in a specified product and — ( a ) a person is; ( b ) the associates of a person are; or ( c ) a person and the person’s associates are, entitled to exercise or control the exercise of at least 20% of the votes attached to the voting shares in the corporation, that person is deemed to have an interest in that specified product. [4/2017] (6) For the purposes of subsection (5), a person is an associate of another person if the firstmentioned person is — ( a ) a subsidiary of that other person; ( b ) a person who is accustomed or is under an obligation whether formal or informal to act in accordance with the directions, instructions or wishes of that other person in relation to the specified product mentioned in subsection (5); or ( c ) a corporation that is, or a majority of the directors of which are, accustomed or under an obligation whether formal or informal to act in accordance with the directions, instructions or wishes of that other person in relation to that specified product. [35/2014; 4/2017] (7) A person is deemed to have an interest in a specified product in any one or more of the following circumstances: ( a ) where the person has entered into a contract to purchase a specified product; ( b ) where the person has a right, otherwise than by reason of having an interest under a trust, to have a specified product transferred to the person or to the person’s order, whether the right is exercisable presently or in the future and whether on the fulfilment of a condition or not; ( c ) where the person has the right to acquire a specified product, or an interest in a specified product, under an option, whether the right is exercisable presently or in the future and whether on the fulfilment of a condition or not; or ( d ) where the person is entitled, otherwise than by reason of the person having been appointed a proxy or representative to vote at a meeting of members of a corporation or of a class of its members, to exercise or control the exercise of a right attached to a specified product, not being a specified product of which the person is the registered holder. [4/2017] (8) A person is deemed to have an interest in a specified product if that specified product is held jointly with another person. [4/2017] (9) For the purpose of determining whether a person has an interest in a specified product, it is immaterial that the interest cannot be related to a particular specified product. [4/2017] (10) The following interests are to be disregarded: ( a ) an interest in a specified product if the interest is that of a person who holds the specified product as bare trustee; ( b ) an interest in a specified product if the interest is that of a person whose ordinary business includes the lending of money if the person holds the interest only by way of security for the purposes of a transaction entered into in the ordinary course of business in connection with the lending of money; ( c ) an interest of a person in a specified product if that interest is an interest held by the person by reason of the person holding a prescribed office; ( d ) an interest of a company in its own securities if that interest is purchased or otherwise acquired in accordance with sections 76B to 76G of the Companies Act 1967; ( e ) a prescribed interest in a specified product being an interest of such person, or of a person included in such class of persons, as may be prescribed. [4/2017] (11) An interest in a specified product is not to be disregarded by reason only of — ( a ) its remoteness; ( b ) the manner in which it arose; or ( c ) the fact that the exercise of a right conferred by the interest is or is capable of being made subject to restraint or restriction. [4/2017] (12) In subsection (6)( a ), “subsidiary” has the meaning given by section 5 of the Companies Act 1967. [35/2014; 4/2017]


document_id: faa-2001
provision_ref: s5
chapter: PART 1 - PRELIMINARY
section: 5
title: Amendment of Schedules
content:
5. —(1) The Minister may by order in the Gazette , amend, add to or vary the First, Second or Third Schedule. (2) The Minister may, in any order made under subsection (1), make such incidental, consequential or supplementary provisions as may be necessary or expedient. (3) Any order made under subsection (1) must be presented to Parliament as soon as possible after publication in the Gazette .


document_id: faa-2001
provision_ref: s6
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 6
title: Need for financial adviser’s licence
content:
6. —(1) A person must not act as a financial adviser in Singapore in respect of any financial advisory service unless the person — ( a ) is authorised to do so in respect of that financial advisory service by a financial adviser’s licence; or ( b ) is an exempt financial adviser. (2) For the purposes of subsection (1), a person is deemed to be acting as a financial adviser in Singapore if the person engages in any activity or conduct that is intended to or likely to induce the public in Singapore or any section thereof to use any financial advisory service provided by the person, whether or not the activity or conduct is intended to or likely to have that effect outside Singapore. (3) In determining whether a person is engaging in any activity or conduct that is intended to or likely to have the effect mentioned in subsection (2), regard is to be had to such considerations as the Authority may prescribe. (4) Any person who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $75,000 or to imprisonment for a term not exceeding 3 years or to both and, in the case of a continuing offence, to a further fine not exceeding $7,500 for every day or part of a day during which the offence continues after conviction.


document_id: faa-2001
provision_ref: s7
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 7
title: Application for grant of financial adviser’s licence
content:
7. —(1) An application for the grant of a financial adviser’s licence must be — ( a ) made to the Authority in such form and manner as may be prescribed; and ( b ) accompanied by a non-refundable application fee of a prescribed amount, which must be paid in the manner specified by the Authority. [1/2009] (2) The Authority may require an applicant to provide it with such information or documents as it considers necessary in relation to the application. [8


document_id: faa-2001
provision_ref: s8
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 8
title: Grounds for refusal to grant financial adviser’s licence
content:
8. —(1) The Authority may refuse an application for the grant of a financial adviser’s licence if — ( a ) the applicant is not a corporation; ( b ) the applicant is unable to meet or continue to meet such minimum financial requirements or such other requirements as the Authority may prescribe, either generally or specifically; ( c ) the applicant does not have in force a professional indemnity insurance policy, the cover of which is consistent with such limit and deductible requirements as may be prescribed, or any other measure as may be approved by the Authority in lieu of a professional indemnity insurance policy; ( d ) the applicant has not provided the Authority with such information or documents as may be required under section 7(2), or such other information or documents relating to it or any person employed by or associated with it for the purposes of its business or relating to any circumstance likely to affect its manner of conducting business as may be required by the Authority; ( e ) any information or document that is provided by the applicant to the Authority is false or misleading; ( f ) the applicant or any of its substantial shareholders is in the course of being wound up or otherwise dissolved, whether in Singapore or elsewhere; ( g ) a receiver, receiver and manager, judicial manager or an equivalent person has been appointed, whether in Singapore or elsewhere, in relation to, or in respect of any property of, the applicant or any of its substantial shareholders; ( h ) the applicant or any of its substantial shareholders has, whether in Singapore or elsewhere, entered into a compromise or scheme of arrangement with its creditors, being a compromise or scheme of arrangement that is still in operation; ( i ) an enforcement order against the applicant or any of its substantial shareholders in respect of a judgment debt has been returned unsatisfied in whole or in part; [Act 25 of 2021 wef 01/04/2022] ( j ) the Authority is not satisfied as to the educational qualification or experience of the officers or employees of the applicant who are to perform duties in connection with the holding of the financial adviser’s licence; ( k ) the Authority has reason to believe that the applicant, or any of its officers or employees, will not perform the functions of a financial adviser efficiently, honestly or fairly; ( l ) a prohibition order has been made, and remains in force, against the applicant; [Act 18 of 2022 wef 31/07/2024] ( m ) the applicant or any of its substantial shareholders or officers — (i) has been convicted, whether in Singapore or elsewhere, of an offence involving fraud or dishonesty or the conviction for which involved a finding that the applicant, the substantial shareholder or the officer acted fraudulently or dishonestly; or (ii) has been convicted of an offence under this Act; ( n ) the applicant fails to satisfy the Authority — (i) that it is a fit and proper person to be licensed; or (ii) that all of its officers, employees and substantial shareholders are fit and proper persons; ( o ) the Authority has reason to believe that the applicant may not act in the best interests of its clients, having regard to the reputation, character, financial integrity and reliability of the applicant or any of its officers, employees or substantial shareholders; ( p ) the Authority is not satisfied as to — (i) the financial standing of the applicant or any of its substantial shareholders; (ii) the manner in which the applicant’s business is to be conducted; or (iii) the record of past performance or expertise of the applicant, having regard to the nature of the business which the applicant may carry on in connection with the holding of the licence; ( q ) there are other circumstances which are likely — (i) to lead to the improper conduct of business by the applicant, or any of its officers, employees or substantial shareholders; or (ii) to reflect discredit on the manner of conduct of the business of the applicant or any of its substantial shareholders; or ( r ) the Authority is of the opinion that it would be contrary to the public interest to grant the licence. [1/2009] (2) For the purposes of subsection (1)( c ) — ( a ) the Authority may prescribe different amounts of cover under a professional indemnity insurance policy according to the activities undertaken or to be undertaken by any applicant; and ( b ) “professional indemnity insurance policy” means a contract of insurance with an insurer under which a person is indemnified in respect of the liabilities arising out of or in the course of the person’s business as a financial adviser. (3) Subject to subsection (4), the Authority must not refuse an application for the grant of a financial adviser’s licence without giving the applicant an opportunity to be heard. [1/2009] (4) The Authority may refuse an application for the grant of a financial adviser’s licence on any of the following grounds without giving the applicant an opportunity to be heard: ( a ) the applicant is in the course of being wound up or otherwise dissolved, whether in Singapore or elsewhere; ( b ) a receiver, a receiver and manager or an equivalent person has been appointed, whether in Singapore or elsewhere, in relation to or in respect of any property of the applicant; ( c ) a prohibition order has been made, and remains in force, against the applicant; [Act 18 of 2022 wef 31/07/2024] ( d ) the applicant has been convicted, whether in Singapore or elsewhere, of an offence involving fraud or dishonesty or the conviction for which involved a finding that it had acted fraudulently or dishonestly. [9 [1/2009]


document_id: faa-2001
provision_ref: s9
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 9
title: Failure to maintain minimum financial requirements or professional indemnity insurance policy
content:
9. —(1) A licensed financial adviser must — ( a ) maintain, at all times during the currency of its licence, such minimum financial requirements or such other requirements as may be prescribed under section 8(1)( b ); and ( b ) have in force, at all times during the currency of its licence, a professional indemnity insurance policy, the cover of which is consistent with such limit and deductible requirements as may be prescribed, or any other measure as may be approved by the Authority in lieu of a professional indemnity insurance policy, under section 8(1)( c ). (2) Where a licensed financial adviser contravenes subsection (1), the Authority may, without affecting any other remedy available to the Authority under this Act — ( a ) permit the financial adviser to continue to act as such, subject to such conditions as the Authority may impose; or ( b ) impose such requirements as may be specified in written directions, including requiring the financial adviser — (i) to cease to act as a financial adviser other than for the purpose of giving effect to any agreement, transaction or arrangement that is permitted by or by virtue of its licence, and that has been entered into before the time of its failure to comply with the minimum financial requirements or such other requirements as may be prescribed under section 8(1)( b ); (ii) to cease to act as a financial adviser other than for the purpose of giving effect to any agreement, transaction or arrangement that is permitted by or by virtue of its licence, and that has been entered into before the time of its failure to have in force a professional indemnity insurance policy, or such other measure as may be approved by the Authority in lieu of a professional indemnity insurance policy, under section 8(1)( c ); or (iii) to submit such statements or reports on a weekly basis or at such other intervals as the Authority may require until it meets the minimum financial requirements or such other requirements as may be prescribed under section 8(1)( b ). (3) Any licensed financial adviser which, without reasonable excuse, contravenes subsection (1) or any condition imposed by the Authority under subsection (2)( a ) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [10


document_id: faa-2001
provision_ref: s10
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 10
title: Grant of financial adviser’s licence
content:
10. —(1) The Authority may grant any financial adviser’s licence, subject to such conditions or restrictions as it thinks fit. [1/2009] (2) Without limiting subsection (1), the Authority may, in granting any financial adviser’s licence, impose conditions or restrictions with respect to the type of financial advisory service which may or may not be provided by the licensed financial adviser, described in such manner as the Authority may consider appropriate. [1/2009] (3) The Authority may at any time add to, vary or revoke any condition or restriction of a financial adviser’s licence. [1/2009] (4) Any licensed financial adviser who contravenes any condition or restriction imposed by the Authority under this section shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $100,000 and, in the case of a continuing offence, to a further fine not exceeding $10,000 for every day or part of a day during which the offence continues after conviction. [13


document_id: faa-2001
provision_ref: s11
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 11
title: Licence fees
content:
11. —(1) A licensed financial adviser must, on a yearly basis on or before such date and in such manner as the Authority may specify, pay such licence fee as the Authority may prescribe. [1/2009] [Act 12 of 2024 wef 24/01/2025] (2) Any licence fee paid to the Authority under this Act must not be refunded or remitted if — ( a ) during the period to which the licence fee relates, the licence is revoked or suspended or lapses under section 15; ( b ) during the period to which the licence fee relates, the licensed financial adviser fails or ceases to provide any financial advisory service; or ( c ) a prohibition order has been made against the licensed financial adviser. [1/2009] [Act 18 of 2022 wef 31/07/2024] (3) Subject to subsection (2), the Authority may, where it considers appropriate, refund or remit the whole or part of any licence fee paid or payable to it. (4) Where a licensed financial adviser fails to pay the licence fee by the date on which such fee is due, the Authority may impose a late payment fee of a prescribed amount for every day or part of a day that the payment is late and both fees are recoverable by the Authority as a judgment debt. [14 [1/2009]


document_id: faa-2001
provision_ref: s12
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 12
title: Variation of financial adviser’s licence
content:
12. —(1) A licensed financial adviser may apply to the Authority, in such form and manner as may be prescribed, to vary its licence — ( a ) by adding one or more types of financial advisory service authorised to be provided by its licence; or ( b ) by adding one or more types of investment product in respect of which it may provide any financial advisory service. [1/2009] (2) The Authority may require an applicant to provide it with such information or documents as it considers necessary in relation to the application. (3) An application under subsection (1) must be accompanied by a non‑refundable application fee of such amount as may be prescribed, which must be paid in the manner specified by the Authority. [1/2009] (4) The Authority may approve an application under subsection (1) subject to such conditions or restrictions as the Authority thinks fit, or may refuse the application on any of the grounds set out in section 8(1). [1/2009] (5) The Authority must not refuse an application under subsection (1) without giving the applicant an opportunity to be heard. [16


document_id: faa-2001
provision_ref: s13
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 13
title: False statements in relation to application for grant or variation of financial adviser’s licence
content:
13. Any person who, in connection with an application for the grant or variation of a financial adviser’s licence — ( a ) without reasonable excuse, makes any statement which is false or misleading in a material particular; or ( b ) without reasonable excuse, omits to state any matter or thing without which the application is misleading in a material respect, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [17 [1/2009]


document_id: faa-2001
provision_ref: s14
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 14
title: Notification of change in particulars
content:
14. —(1) Where — ( a ) a licensed financial adviser ceases to act as a financial adviser; or ( b ) a change occurs in any matter records of which are required by section 72 to be kept in relation to a licensed financial adviser, the licensed financial adviser must, not later than 14 days after the occurrence of that event, provide particulars of the event to the Authority in the prescribed form. [1/2009] (2) [ Deleted by Act 12 of 2024 wef 24/01/2025 ] (3) Any person who, without reasonable excuse, contravenes this section shall be guilty of an offence. [18


document_id: faa-2001
provision_ref: s15
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 15
title: Lapsing, revocation and suspension of financial adviser’s licence
content:
15. —(1) A financial adviser’s licence lapses — ( a ) if the licensed financial adviser is wound up or otherwise dissolved, whether in Singapore or elsewhere; or ( b ) in the event of such other occurrence or in such other circumstances as may be prescribed. [1/2009] (2) The Authority may revoke a financial adviser’s licence if — ( a ) there exists a ground on which the Authority may refuse an application under section 8(1); ( b ) the licensed financial adviser has contravened any provision of this Act, or any condition or restriction imposed or any written direction issued by the Authority under this Act; ( c ) it appears to the Authority that the licensed financial adviser has failed to satisfy any of its obligations under or arising from — (i) this Act; or (ii) any written direction issued by the Authority under this Act; ( d ) it appears to the Authority that the licensed financial adviser is carrying on its business in a manner that is — (i) likely to be detrimental to its clients; or (ii) contrary to the interests of the public; ( e ) the licensed financial adviser has provided any information or document to the Authority that is false or misleading; ( f ) the Authority has reason to believe that the licensed financial adviser, or any of its officers or employees, has not performed its or his or her duties efficiently, honestly or fairly; ( g ) a prohibition order has been made, and remains in force, against the licensed financial adviser; [Act 18 of 2022 wef 31/07/2024] ( h ) the Authority has reason to believe that the licensed financial adviser has not acted in the best interests of its clients; ( i ) the licensed financial adviser fails to pay the licence fee mentioned in section 11; or ( j ) the licensed financial adviser fails or ceases to carry on business in all types of financial advisory service for which it was licensed. [1/2009; 35/2012] (3) The Authority may, if it considers it desirable to do so — ( a ) suspend a financial adviser’s licence for a specific period instead of revoking it under subsection (2); and ( b ) at any time extend or revoke the suspension. [1/2009] (4) Subject to subsection (5), the Authority must not revoke or suspend a financial adviser’s licence under subsection (2) or (3) without giving the licensed financial adviser an opportunity to be heard. [1/2009] (5) The Authority may revoke or suspend a financial adviser’s licence without giving the licensed financial adviser an opportunity to be heard on any of the following grounds: ( a ) the licensed financial adviser is in the course of being wound up or otherwise dissolved, whether in Singapore or elsewhere; ( b ) a receiver, a receiver and manager or an equivalent person has been appointed, whether in Singapore or elsewhere, for or in respect of any property of the licensed financial adviser; ( c ) a prohibition order has been made, and remains in force, against the licensed financial adviser; [Act 18 of 2022 wef 31/07/2024] ( d ) the licensed financial adviser has been convicted, whether in Singapore or elsewhere, of an offence involving fraud or dishonesty or the conviction for which involved a finding that it had acted fraudulently or dishonestly. [1/2009] (6) A person whose financial adviser’s licence is revoked or suspended must cease to act as a financial adviser from the date on which the revocation or suspension takes effect. [1/2009] (7) Where the Authority has revoked or suspended a financial adviser’s licence, the licensed financial adviser must — ( a ) in the case of a revocation of its licence, immediately inform all its representatives by written notice of such revocation, and the representatives who are so informed must cease to act as representatives of that licensed financial adviser; or ( b ) in the case of a suspension of its licence, immediately inform all its representatives by written notice of such suspension, and the representatives who are so informed must cease to act as representatives of that licensed financial adviser during the period of the suspension. [1/2009] (8) A lapsing, revocation or suspension of a financial adviser’s licence must not operate so as to — ( a ) avoid or affect any agreement, transaction or arrangement relating to any investment product entered into by the licensed financial adviser, whether the agreement, transaction or arrangement was entered into before, on or after the lapsing, revocation or suspension of the licence; or ( b ) affect any right, obligation or liability arising under any such agreement, transaction or arrangement. [1/2009] (9) Any person who continues to act as a financial adviser in contravention of subsection (6) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $150,000 and, in the case of a continuing offence, to a further fine not exceeding $15,000 for every day or part of a day during which the offence continues after conviction. [1/2009] (10) Any financial adviser which contravenes subsection (7) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 and, in the case of a continuing offence, to a further fine not exceeding $5,000 for every day or part of a day during which the offence continues after conviction. [19 [1/2009]


document_id: faa-2001
provision_ref: s16
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 16
title: Right of appeal
content:
16. Any person who is aggrieved — ( a ) by the refusal of the Authority to grant a financial adviser’s licence to it, or to vary its licence; or ( b ) by the revocation or suspension of its licence by the Authority, may, within 30 days of the refusal, revocation or suspension, appeal in writing to the Minister. [20 [1/2009]


document_id: faa-2001
provision_ref: s17
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 17
title: Use of words “financial adviser” or “life insurance broker”
content:
17. —(1) A person, other than — ( a ) a licensed financial adviser; ( b ) an exempt financial adviser; or ( c ) a person, or a person belonging to a class of persons, approved by the Authority, must not — ( d ) use the words “financial adviser” in any language, or any other word indicating that the person carries on business as a financial adviser, in the name, description or title under which the person carries on business in Singapore; or ( e ) make any representation to such effect in any bill head, letter paper, notice, advertisement, publication or writing, whether in electronic, print or other form. (2) This section does not prohibit — ( a ) an appointed or provisional representative of a licensed financial adviser or exempt financial adviser; or ( b ) a representative of an exempt financial adviser mentioned in section 20(1)( f ), ( g ) or ( h ), from using the words “financial adviser” together with the word “representative” or any other word indicating that the person is a representative of a financial adviser. [1/2009] [Act 12 of 2024 wef 24/01/2025] (3) A person, other than — ( a ) a licensed financial adviser which is authorised by its licence to provide any financial advisory service in respect of life policies; ( b ) an exempt financial adviser which provides any financial advisory service in respect of life policies; or ( c ) a person, or a person belonging to a class of persons, approved by the Authority, must not — ( d ) use the words “life insurance broker” or any of its derivatives in any language, or any other word indicating that the person carries on business of providing any financial advisory service in respect of life policies, in the name, description or title under which the person carries on business in Singapore; or ( e ) make any representation to such effect in any bill head, letter paper, notice, advertisement, publication or writing, whether in electronic, print or other form. (4) This section does not prohibit — ( a ) an appointed or provisional representative of a licensed financial adviser or exempt financial adviser which provides any financial advisory service in respect of life policies; or ( b ) a representative of an exempt financial adviser mentioned in section 20(1)( f ), ( g ) or ( h ) which provides any financial advisory service in respect of life policies, from using the words “life insurance broker” together with the word “representative” or any other word indicating that the person is a representative of a financial adviser providing any financial advisory service in respect of life policies. [1/2009] [Act 12 of 2024 wef 24/01/2025] (5) Any person who contravenes subsection (1) or (3) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $12,500 and, in the case of a continuing offence, to a further fine not exceeding $1,250 for every day or part of a day during which the offence continues after conviction. [21


document_id: faa-2001
provision_ref: s18
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 18
title: Holding out as financial adviser
content:
18. —(1) A person must not hold out to be a financial adviser unless the person is a licensed financial adviser, an exempt financial adviser or a person specified in the First Schedule. (2) Any person who contravenes this section shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $75,000 or to imprisonment for a term not exceeding 3 years or to both and, in the case of a continuing offence, to a further fine not exceeding $7,500 for every day or part of a day during which the offence continues after conviction. [22


document_id: faa-2001
provision_ref: s19
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 19
title: Regulation of payment, etc., of remuneration
content:
19. —(1) A licensed financial adviser or an exempt financial adviser, or a representative or supervisor of a licensed financial adviser or an exempt financial adviser must not request or demand payment of, or accept any remuneration, in relation to — ( a ) the provision of any financial advisory service in connection with any type of investment product; or ( b ) the sale of any type of investment product following the provision of any financial advisory service, except in accordance with regulations made under section 135 or a written notice issued by the Authority. [18/2015] (2) A licensed financial adviser or an exempt financial adviser must not pay another licensed financial adviser or exempt financial adviser, or a representative or supervisor of the firstmentioned licensed financial adviser or exempt financial adviser, or of another licensed financial adviser or exempt financial adviser, any remuneration in relation to — ( a ) the provision of any financial advisory service in connection with any type of investment product; or ( b ) the sale of any type of investment product following the provision of any financial advisory service, except in accordance with regulations made under section 135 or a written notice issued by the Authority. [18/2015] (3) The regulations or written notice mentioned in subsection (1) or (2) may prescribe or specify the following: ( a ) the type and amount of the remuneration which may be payable in any particular period; ( b ) how the payment is to be made. [18/2015] (4) Subsections (1) and (2) apply only to payment of remuneration which accrues — ( a ) on or after 1 January 2016; and ( b ) under any agreement or arrangement whether made before, on or after 1 January 2016. [18/2015] (5) Any person required to comply with subsection (1) or (2) must do so despite — ( a ) any written law in force on 1 January 2016 or rule of law to the contrary; or ( b ) any agreement or arrangement entered into before, on or after 1 January 2016. [18/2015] (6) Any person who complies with subsection (1) or (2) is not to be treated as having breached — ( a ) any rule of law or written law mentioned in subsection (5)( a ); or ( b ) any agreement or arrangement mentioned in subsection (5)( b ) which was entered into before 1 January 2016, and no such agreement or arrangement is taken to be brought to an end by frustration solely by reason of any act done in compliance with subsection (1) or (2), or any regulation or written notice mentioned in subsection (1) or (2). [18/2015] (7) Any person who contravenes subsection (1) or (2) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [18/2015] (8) A written notice issued under this section need not be published in the Gazette . [18/2015] (9) In this section, “remuneration” includes — ( a ) any monetary commission, incentive, benefit or reward; ( b ) any non-monetary incentive, benefit or reward; and ( c ) such other consideration as may be prescribed under section 135 or specified by the Authority by written notice. [22A [18/2015]


document_id: faa-2001
provision_ref: s20
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 20
title: Exempt financial advisers and their representatives
content:
20. —(1) The following persons are exempt from holding a financial adviser’s licence to act as a financial adviser in Singapore in respect of the following financial advisory services: ( a ) a bank licensed under the Banking Act 1970, in respect of any financial advisory service; [Act 12 of 2024 wef 24/01/2025] ( b ) a merchant bank licenced under the Banking Act 1970, in respect of any financial advisory service; [Act 12 of 2024 wef 24/01/2025] ( c ) a company or co-operative society licensed under the Insurance Act (Cap. 142) or a company registered as an insurance broker under that Act, in respect of any financial advisory service; [Act 18 of 2015 wef 10/05/2024] [Act 12 of 2024 wef 24/01/2025] ( d ) a holder of a capital markets services licence under the Securities and Futures Act 2001, in respect of any financial advisory service; [Act 12 of 2024 wef 24/01/2025] ( e ) a finance company which has been granted an exemption from section 25(2) of the Finance Companies Act 1967 to carry on a business of providing any financial advisory service, in respect of any financial advisory service; [Act 12 of 2024 wef 24/01/2025] ( f ) an approved exchange, a recognised market operator, or an approved holding company, in respect of any financial advisory service the provision of which is solely incidental to its operation of an organised market, or to its performance as an approved holding company, as the case may be; [Act 12 of 2024 wef 24/01/2025] ( g ) a prescribed person or class of persons, in respect of a prescribed financial advisory service; [Act 12 of 2024 wef 24/01/2025] ( h ) a person or class of persons notified by written notice, in respect of a financial advisory service notified in that written notice. [11/2013; 4/2017; 1/2020] [Act 12 of 2024 wef 24/01/2025] (2) Subject to the provisions of this Act, sections 34 to 38, 41, 42, 43, 45, 47 and 48 apply, with the necessary modifications, to an exempt financial adviser (other than a person mentioned in subsection (1)( f ), ( g ) or ( h )) in respect of its business of providing any financial advisory service as if it is a licensed financial adviser. [18/2015] [Act 12 of 2024 wef 24/01/2025] (3) Subject to the provisions of this Act, sections 34, 35 and 45 apply, with the necessary modifications, to — ( a ) a person mentioned in subsection (1)( f ) in respect of its business of providing any financial advisory service as if it is a licensed financial adviser; and ( b ) any of its representatives in respect of the person acting as such as if the person is a licensed financial adviser. [1/2009] (4) The reference in subsections (2) and (3) to specific sections of this Act do not include references to any regulations made under those sections unless the Authority prescribes that such regulations so apply. [1/2009] (5) The Authority may, on the application of an exempt financial adviser (other than a person mentioned in subsection (1)( g ) or ( h )), exempt the exempt financial adviser from complying with any of the provisions mentioned in subsection (2) or (3), as the case may be. [1/2009] [Act 12 of 2024 wef 24/01/2025] (6) The Authority may, on the application of a person mentioned in subsection (1)( f ), exempt any of its representatives from complying with any of the provisions mentioned in subsection (3). [1/2009] (7) The Authority may prescribe or specify in written directions the provisions of this Act that apply to the persons mentioned in subsection (1)( g ) or ( h ) or their representatives. [Act 12 of 2024 wef 24/01/2025] (8) An exemption granted under subsection (5) need not be published in the Gazette . (9) The Authority may, by regulations made under section 135 or by written notice to an exempt financial adviser or representative of a person mentioned in subsection (1)( f ), ( g ) or ( h ), impose any condition or restriction on the exempt financial adviser or representative in relation to the provision of any financial advisory service as the Authority thinks fit. [1/2009] [Act 12 of 2024 wef 24/01/2025] (9A) The Authority may add to, vary or revoke any condition or restriction imposed under subsection (9) (including a condition that has been added to or varied under this subsection). [Act 12 of 2024 wef 24/01/2025] (10) The Authority may withdraw an exemption granted to any person under this section if — ( a ) the person fails to pay the annual fee under section 21; ( b ) the person contravenes any other provision of this Act; or ( c ) the Authority considers it necessary in the public interest. [1/2009] (11) Where the Authority withdraws an exemption granted to any person under this section, the Authority need not give the person an opportunity to be heard. (12) An exempt financial adviser which is aggrieved by the decision of the Authority to withdraw an exemption granted to it under this section may, within 30 days of the decision, appeal in writing to the Minister. (13) A withdrawal under subsection (10) of an exemption granted to any person does not operate so as to — ( a ) avoid or affect any agreement, transaction or arrangement, relating to any investment product entered into by the person, whether the agreement, transaction or arrangement was entered into before or after the withdrawal of the exemption; or ( b ) affect any right, obligation or liability arising under any agreement, transaction or arrangement mentioned in paragraph ( a ). (14) Any exempt financial adviser which contravenes any condition or restriction imposed under subsection (9) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $100,000 and, in the case of a continuing offence, to a further fine not exceeding $10,000 for every day or part of a day during which the offence continues after conviction. [1/2009] (15) Any representative who contravenes any condition or restriction imposed under subsection (9) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [23 [1/2009]


document_id: faa-2001
provision_ref: s21
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 21
title: Annual fees payable by exempt financial advisers and certain representatives
content:
21. —(1) Every exempt financial adviser and representative of a person exempted under section 20(1)( f ), ( g ) or ( h ) must, on a yearly basis on such date as the Authority may specify, pay such fee as the Authority may prescribe and in such manner and on such date as the Authority may specify. [1/2009] [Act 12 of 2024 wef 24/01/2025] (2) Any fee paid under subsection (1) must not be refunded or remitted if — ( a ) in the case of an exempt financial adviser — (i) its exemption is withdrawn; (ii) it fails or ceases to provide any financial advisory service; or (iii) a prohibition order has been made against it, during the period to which the fee relates; and [Act 18 of 2022 wef 31/07/2024] ( b ) in the case of a representative of a person exempted under section 20(1)( f ), ( g ) or ( h ) — (i) the exemption of the person who is so exempted is withdrawn; (ii) the person fails or ceases to act as a representative; or (iii) a prohibition order has been made against the person, during the period to which the fee relates. [1/2009] [Act 18 of 2022 wef 31/07/2024] [Act 12 of 2024 wef 24/01/2025] (3) Subject to subsection (2), the Authority may, where it considers appropriate, refund or remit the whole or part of any fee paid or payable to the Authority. [1/2009] (4) Where an exempt financial adviser or representative of a person exempted under section 20(1)( f ), ( g ) or ( h ) fails to pay the fee by the date on which such fee is due, the Authority may impose a late payment fee of a prescribed amount for every day or part of a day that the payment is late and both fees are recoverable by the Authority as a judgment debt. [23A [1/2009] [Act 12 of 2024 wef 24/01/2025] Division 2 &#x2014; Representatives


document_id: faa-2001
provision_ref: s22
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 22
title: Acting as representative
content:
22. —(1) A person must not act as a representative in respect of any type of financial advisory service or hold himself or herself out as doing so, unless the person is — ( a ) an appointed or provisional representative in respect of that type of financial advisory service; or ( b ) a representative of an exempt financial adviser mentioned in section 20(1)( f ), ( g ) or ( h ), insofar as — (i) the type and scope of the financial advisory service provided by the firstmentioned person are within the type and scope of, or are the same as, that provided by the exempt financial adviser (in the exempt financial adviser’s capacity as such exempt financial adviser); and (ii) the manner in which the firstmentioned person provides that type of financial advisory service is the same as the manner in which the exempt financial adviser (in the exempt financial adviser’s capacity as such exempt financial adviser) provides that type of financial advisory service. [1/2009] [Act 12 of 2024 wef 24/01/2025] (2) Without affecting subsection (1), a person must not act as a representative or hold himself or herself out as doing so, if the person is concurrently engaged in, whether or not for remuneration — ( a ) any employment with another person; or ( b ) any business, trade, profession or vocation, whether for himself or herself or another person, which does not involve the person performing any financial advisory service. [18/2015] (3) Subsection (2) does not apply if the person complies with the conditions and requirements prescribed under section 135 or specified by the Authority by written notice, when engaging in such employment, business, trade, profession or vocation. [18/2015] (4) The Authority may exempt any person or class of persons from subsection (1), subject to such conditions or restrictions as may be imposed by the Authority. [1/2009] (5) A principal must not permit any individual to provide any type of financial advisory service on its behalf unless — ( a ) the individual is an appointed or provisional representative in respect of that type of financial advisory service; or ( b ) the principal is an exempt financial adviser under section 20(1)( f ), ( g ) or ( h ) and — (i) the type and scope of the financial advisory service provided by the individual are within the type and scope of, or are the same as, that provided by the exempt financial adviser (in the exempt financial adviser’s capacity as an exempt financial adviser); and (ii) the manner in which the individual provides that type of financial advisory service is the same as the manner in which the exempt financial adviser (in the exempt financial adviser’s capacity as an exempt financial adviser) provides that type of financial advisory service. [1/2009] [Act 12 of 2024 wef 24/01/2025] (6) Without affecting subsection (5), a licensed financial adviser in Singapore or an exempt financial adviser in Singapore must not appoint as its appointed representative or provisional representative an individual whom the financial adviser knows or has reasonable grounds to believe, is concurrently engaged in, whether or not for any remuneration — ( a ) any employment with any person; or ( b ) any business, trade, profession or vocation, whether for himself or herself or another person, which does not involve the individual performing any financial advisory service. [18/2015] (7) Subsection (6) does not apply if the licensed financial adviser or exempt financial adviser is satisfied that the criteria prescribed under section 135 or specified by the Authority by written notice for the purposes of this subsection have been satisfied. [18/2015] (8) Any person who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 12 months or to both and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [1/2009] (9) Any person who contravenes subsection (5) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 and, in the case of a continuing offence, to a further fine not exceeding $5,000 for every day or part of a day during which the offence continues after conviction. [1/2009] (10) A person who contravenes subsection (2) or (6) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $12,500. [18/2015] (11) A written notice issued under this section need not be published in the Gazette . [18/2015] (12) In this section, “financial adviser in Singapore” means — ( a ) a financial adviser which is incorporated in Singapore; or ( b ) in the case of a financial adviser incorporated outside Singapore, the branches or offices of the financial adviser located within Singapore. [23B [18/2015]


document_id: faa-2001
provision_ref: s23
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 23
title: Appointed representative
content:
23. —(1) For the purposes of this Act, an appointed representative in respect of a type of financial advisory service is an individual — ( a ) who satisfies such entry and examination requirements as may be specified by the Authority for that type of financial advisory service, the fact of which has been notified to the Authority either in the document lodged under section 26(1), or (if applicable) under section 24(5) within the time prescribed under that provision; ( b ) whose name is entered in the public register of representatives as an appointed representative; ( c ) whose status as an appointed representative has not currently been revoked or suspended and who has not currently been prohibited by the Authority from providing that type of financial advisory service; ( d ) whose entry in the public register of representatives indicates that the individual is appointed to provide that type of financial advisory service and does not indicate that the individual has ceased to be so; and ( e ) whose principal — (i) is licensed to provide that type of financial advisory service; or (ii) provides that type of financial advisory service in its capacity as a person exempted from the requirement to hold a financial adviser’s licence under section 20(1)( a ), ( b ), ( c ), ( d ) or ( e ). [1/2009] (2) For the purpose of subsection (1)( a ), the Authority may, by direction published in such manner as may be prescribed, specify the examination requirements for each type of financial advisory service. [1/2009] (3) The Authority may require the principal or individual to provide it with such information or documents as the Authority considers necessary in relation to the proposed appointment of the individual as an appointed representative, and the principal or individual (as the case may be) must comply with such a request. [1/2009] (4) An individual ceases to be an appointed representative in respect of any type of financial advisory service on the date — ( a ) the individual ceases to be the principal’s representative or to provide that type of financial advisory service on behalf of the principal, the fact of which has been notified to the Authority under subsection (8); ( b ) the individual’s principal ceases to provide that type of financial advisory service; ( c ) the licence of the individual’s principal is revoked or lapses or a prohibition order is made against the individual’s principal prohibiting it from providing that type of financial advisory service; [Act 18 of 2022 wef 31/07/2024] ( d ) the individual dies; or ( e ) of the occurrence of such other circumstances as the Authority may prescribe. [1/2009] (5) An individual is not to be treated as an appointed representative during the period in which the licence of the individual’s principal is suspended. [1/2009] (6) Subsection (4) or (5) does not prevent the individual from being treated as an appointed representative in respect of that type of financial advisory service if the individual becomes a representative of a new principal in respect of that type of financial advisory service and subsection (1) is complied with. [1/2009] (7) Subsections (4) and (5) do not operate so as to — ( a ) avoid or affect any agreement, transaction or arrangement relating to any investment product entered into by that individual, whether the agreement, transaction or arrangement was entered into before, on or after the cessation or date of suspension; or ( b ) affect any right, obligation or liability arising under any such agreement, transaction or arrangement. [1/2009] (8) A principal must, no later than the next business day after the day — ( a ) an individual ceases to be his or her representative; or ( b ) an individual who is his or her representative ceases to provide any type of financial advisory service, which he or she is appointed to provide, provide particulars of such cessation to the Authority, in the prescribed form and manner. [23C [1/2009]


document_id: faa-2001
provision_ref: s24
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 24
title: Provisional representative
content:
24. —(1) For the purposes of this Act, a provisional representative in respect of a type of financial advisory service is an individual — ( a ) who satisfies such entry requirements as may be specified by the Authority for that type of financial advisory service; ( b ) who intends to undergo an examination in order to satisfy the examination requirements specified by the Authority under section 23(2) for that type of financial advisory service, the fact of which has been notified to the Authority in the document lodged under section 26(1); ( c ) whose name is entered in the public register of representatives as a provisional representative; ( d ) whose status as a provisional representative has not currently been revoked or suspended and who has not currently been prohibited by the Authority from providing that type of financial advisory service; ( e ) whose entry in the public register of representatives indicates that the individual is appointed to provide that type of financial advisory service and does not indicate that the individual has ceased to be so; ( f ) whose principal — (i) is licensed to provide that type of financial advisory service; or (ii) provides that type of financial advisory service in its capacity as a person exempted from the requirement to hold a financial adviser’s licence under section 20(1)( a ), ( b ), ( c ), ( d ) or ( e ); ( g ) who has not previously been appointed as a provisional representative by the Authority; and ( h ) who is not, by virtue of any circumstances prescribed by the Authority, disqualified from acting as a provisional representative. [1/2009] (2) An individual is a provisional representative only in respect of any type of financial advisory service for such period of time as the Authority may specify against the individual’s name in the public register of representatives. [1/2009] (3) A provisional representative in respect of any type of financial advisory service immediately ceases to be one — ( a ) upon the expiry of the period of time specified by the Authority under subsection (2); ( b ) if the provisional representative fails to comply with any condition or restriction imposed on the provisional representative under section 31; ( c ) upon the provisional representative’s principal informing the Authority of the satisfaction of the examination requirements specified for that or any other type of financial advisory service under subsection (5); or ( d ) on the occurrence of such other circumstances as the Authority may prescribe. [1/2009] (4) Section 23(3) to (8) (other than subsection (4)( e ) thereof) applies to a provisional representative — ( a ) as if the reference in section 23(6) to section 23(1) were a reference to subsection (1); and ( b ) with such other modifications and adaptations as the differences between provisional representatives and appointed representatives require. [1/2009] (5) Where a provisional representative in respect of a type of financial advisory service has satisfied the examination requirements specified for that type of financial advisory service, the provisional representative’s principal must inform the Authority of that fact in the prescribed form and manner and within the prescribed time. [23D [1/2009]


document_id: faa-2001
provision_ref: s25
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 25
title: Offences
content:
25. —(1) Any person who contravenes section 23(3) or 24(4) (in relation to the application of section 23(3) to a provisional representative) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000. [1/2009] (2) Any person who contravenes section 23(8), 24(4) (in relation to the application of section 23(8) to a provisional representative) or 26(5) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 and, in the case of a continuing offence, to a further fine not exceeding $5,000 for every day or part of a day during which the offence continues after conviction. [23E [1/2009]


document_id: faa-2001
provision_ref: s26
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 26
title: Lodgment of documents
content:
26. —(1) A principal who desires to appoint an individual as an appointed or provisional representative in respect of any type of financial advisory service must lodge the following documents with the Authority in such form and manner as the Authority may prescribe: ( a ) a notice of intent by the principal to appoint the individual as an appointed or provisional representative in respect of that type of financial advisory service; ( b ) a certificate by the principal that the individual is a fit and proper person to be an appointed or provisional representative in respect of that type of financial advisory service; and ( c ) in the case of a provisional representative, an undertaking by the principal to undertake such responsibilities in relation to the representative as may be prescribed. [1/2009] (2) Subsection (1) does not apply to a principal who desires to appoint, as an appointed representative in respect of any type of financial advisory service, an individual who is a provisional representative in respect of that type of financial advisory service, if — ( a ) that individual has satisfied the examination requirements specified for that type of financial advisory service; and ( b ) the principal has informed the Authority of that fact in the prescribed form and manner under section 24(5). [35/2012] (3) Subject to section 30, the Authority must, upon receipt of the documents lodged in accordance with subsection (1), enter in the public register of representatives the name of the representative, whether the representative is an appointed or provisional representative, the type of financial advisory service which the representative may provide, and such other particulars as the Authority considers appropriate. [1/2009] (4) The Authority may refuse to enter in the public register of representatives the particulars mentioned in subsection (3) of the representative if the fee mentioned in section 28(1) or (3) (if applicable) is not paid. [1/2009] (5) A principal who submits a certificate under subsection (1)( b ) must keep, in such form and manner and for such period as the Authority may prescribe, copies of all information and documents which the principal relied on in giving the certificate. [1/2009] (6) Where a change occurs in any particulars of the appointed or provisional representative in any document required to be provided to the Authority under subsection (1), the principal must, no later than 14 days after the occurrence of such change, provide particulars of such change to the Authority, in the prescribed form and manner. [1/2009] (7) A principal who contravenes subsection (5) shall be guilty of an offence. [23F [1/2009; 35/2012]


document_id: faa-2001
provision_ref: s27
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 27
title: Representative to act for only one principal
content:
27. —(1) Unless otherwise approved by the Authority in writing, an appointed representative or provisional representative must not at any one time be a representative of more than one principal. [1/2009] (2) Despite subsection (1), an appointed representative may be a representative of more than one principal if the principals are related corporations. [1/2009] (3) The Authority may require an applicant for approval under subsection (1) to provide it with such information or documents as the Authority considers necessary in relation to the application. [1/2009] (4) Any person who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 12 months or to both and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [23G [1/2009]


document_id: faa-2001
provision_ref: s28
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 28
title: Lodgment and annual fees
content:
28. —(1) An individual must, on or before the date specified by the Authority, pay to the Authority such fee as may be prescribed by the Authority for the lodgment of documents under section 26 by the individual’s principal in relation to the individual’s appointment as an appointed or provisional representative. [1/2009] [Act 12 of 2024 wef 24/01/2025] (2) An individual who is an appointed or provisional representative must, on or before the date specified by the Authority each year, pay such annual fee as may be prescribed by the Authority in relation to the retention of the individual’s name in the public register of representatives as an appointed or provisional representative. [1/2009] [Act 12 of 2024 wef 24/01/2025] (3) A representative must pay such fee as may be prescribed by the Authority for any resubmission of a form or change in the particulars of a form lodged with the Authority in relation to his or her appointment as an appointed or provisional representative. [1/2009] (4) Unless otherwise prescribed by the Authority, any fee paid to the Authority under this section must not be refunded. [1/2009] (5) Where the representative fails to pay the fee mentioned in subsection (1) or (2) by the date on which such fee is due, the Authority may impose a late payment fee of a prescribed amount for every day or part of a day that the payment is late and both fees are recoverable by the Authority as a judgment debt. [1/2009] (6) The fees mentioned in this section must be paid in the manner specified by the Authority. [23H [1/2009]


document_id: faa-2001
provision_ref: s29
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 29
title: Additional financial advisory service
content:
29. —(1) The principal of an appointed representative may at any time lodge a notice with the Authority of its intention to appoint the representative as an appointed representative in respect of a type of financial advisory service in addition to that indicated against the representative’s name in the public register of representatives. [1/2009] (2) The notification must be lodged in such form and manner as may be prescribed and must be accompanied by a certificate by the principal that the representative is a fit and proper person to be a representative in respect of the additional type of financial advisory service. [1/2009] (3) Subject to section 30, the Authority must, upon receipt of the notification, enter in the public register of representatives the additional type of financial advisory service as one which the representative may provide as a representative. [1/2009] (4) The Authority may, before entering in the public register of representatives the matter set out in subsection (3), require the principal or representative to provide it with such information or documents as the Authority considers necessary. [1/2009] (5) A notification under subsection (1) must be accompanied by a non‑refundable prescribed fee which must be paid in the manner specified by the Authority. [23I [1/2009]


document_id: faa-2001
provision_ref: s30
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 30
title:
Power of Authority to refuse entry or revoke or suspend status of appointed or provisional representative

content:
30. —(1) Subject to regulations made under this Act, the Authority may refuse to enter the name and other particulars of an individual in the public register of representatives, refuse to enter an additional type of financial advisory service for an appointed representative in that register, or revoke the status of an individual as an appointed or provisional representative if — ( a ) being an appointed or provisional representative, the individual fails or ceases to act as a representative in respect of all of the types of financial advisory services that were notified to the Authority as services which the individual is appointed to provide as a representative; ( b ) the individual or the individual’s principal has not provided the Authority with such information or documents as the Authority may require; ( c ) the individual is an undischarged bankrupt, whether in Singapore or elsewhere; ( d ) an enforcement order against the individual in respect of a judgment debt has been returned unsatisfied in whole or in part; [Act 25 of 2021 wef 01/04/2022] ( e ) the individual has, whether in Singapore or elsewhere, entered into a compromise or scheme of arrangement with the individual’s creditors, being a compromise or scheme of arrangement that is still in operation; ( f ) the individual — (i) has been convicted, whether in Singapore or elsewhere, of an offence involving fraud or dishonesty or the conviction for which involved a finding that the individual had acted fraudulently or dishonestly; or (ii) has been convicted of an offence under this Act; ( g ) in the case of the proposed appointment of an appointed or provisional representative in respect of a type of financial advisory service, or of an application to enter an additional type of financial advisory service for an appointed representative in the register — (i) the Authority is not satisfied as to the individual’s educational or other qualification or experience having regard to the nature of the duties the individual is to perform in relation to that type of financial advisory service; (ii) the individual or the individual’s principal fails to satisfy the Authority that the individual is a fit and proper person to be an appointed or provisional representative or to perform that type of financial advisory service; (iii) the Authority is not satisfied as to the individual’s record of past performance or expertise having regard to the nature of the duties which the individual is to perform in relation to that type of financial advisory service; (iv) the Authority has reason to believe that the individual will not perform that type of financial advisory service efficiently, honestly or fairly; ( h ) in the case of the revocation of the status of an individual as an appointed or provisional representative — (i) the individual or the individual’s principal fails to satisfy the Authority, pursuant to a requirement imposed by the Authority as a condition for the individual to be an appointed or provisional representative under section 31 or by regulations (as the case may be), that the individual remains a fit and proper person to be an appointed or provisional representative or to perform the type of financial advisory service for which the individual is appointed; (ii) the Authority is not satisfied with — (A) the individual’s educational or other qualification or experience (being qualification or experience not known to the Authority at the time the individual’s name and particulars are entered in the public register of representatives); or (B) the individual’s record of past performance or expertise, having regard to the nature of the individual’s duties as an appointed or provisional representative; (iii) the Authority has reason to believe that the individual has not performed, or will not perform, the type of financial advisory service for which the individual is appointed efficiently, honestly or fairly; or (iv) the Authority has reason to believe that the individual has not acted in the best interests of the clients of the individual’s principal; ( i ) the Authority has reason to believe that the individual may not be able to act in the best interests of the clients of the individual’s principal, having regard to the individual’s reputation, character, financial integrity and reliability; ( j ) the Authority is not satisfied as to the individual’s financial standing; ( k ) there are other circumstances which are likely to lead to the improper conduct of business by, or reflect discredit on the manner of conducting the business of, the individual or any person employed by or associated with the individual for the purpose of the individual’s business; ( l ) the individual is in arrears of the payment of such contributions on the individual’s own behalf to the Central Provident Fund as are required under the Central Provident Fund Act 1953; ( m ) the Authority is of the opinion that it would be contrary to the interests of the public to enter the individual’s name in the public register of representatives or allow the individual to continue as an appointed or provisional representative or to provide that additional type of financial advisory service, as the case may be; ( n ) the Authority has reason to believe that any information or document that is provided by the individual or the individual’s principal to the Authority is false or misleading; ( o ) the individual has contravened any provision of this Act applicable to the individual, any condition or restriction imposed on the individual under this Act or any direction issued to the individual by the Authority under this Act; ( p ) it appears to the Authority that the individual has failed to satisfy any of the individual’s obligations under or arising from — (i) this Act; or (ii) any written direction issued by the Authority under this Act; ( q ) a prohibition order has been made, and remains in force, against the individual; [Act 18 of 2022 wef 31/07/2024] ( r ) the licence of the individual’s principal is revoked; ( s ) the individual fails to pay any fee mentioned in section 28; or ( t ) in the case of the proposed appointment of a provisional representative in respect of a type of financial advisory service — (i) the individual is not or was not previously licensed, authorised or otherwise regulated as a representative in relation to a comparable type of financial advisory service in a foreign jurisdiction for such minimum period as may be prescribed for this sub‑paragraph; (ii) the individual was previously so licensed, authorised or regulated in a foreign jurisdiction but the period between the date of the individual ceasing to be so licensed, authorised or regulated and the date of the individual’s proposed appointment as a provisional representative exceeds such period as may be prescribed for this sub‑paragraph; or (iii) the Authority is not satisfied that the laws and practices of the jurisdiction under which the individual is or was so licensed, authorised or regulated provide protection to investors comparable to that applicable to an appointed representative under this Act. [1/2009; 35/2012] (2) The Authority may, if it considers it desirable to do so — ( a ) instead of revoking the status of an individual as an appointed or provisional representative, suspend that status for such period as the Authority may determine; and ( b ) at any time — (i) extend the period of suspension; or (ii) revoke the suspension. [1/2009] (3) An individual whose status as an appointed or provisional representative has been revoked is deemed not to be an appointed or provisional representative, as the case may be. [1/2009] (4) Where the status of an individual as an appointed or provisional representative has been suspended, the individual is deemed not to be an appointed or provisional representative (as the case may be) during the period of suspension. [1/2009] (5) Where the Authority has revoked the status of an individual as an appointed or provisional representative, the Authority must — ( a ) indicate against the individual’s name in the public register of representatives that fact, which indication must remain in the register for such period as the Authority considers appropriate; or ( b ) remove the individual’s name from the register. [1/2009] (6) Where the Authority has suspended the status of an individual as an appointed or provisional representative, the Authority must indicate against the individual’s name in the public register of representatives that fact and the period of the suspension. [1/2009] (7) Where the Authority has extended or revoked a suspension of the status of an individual as an appointed or provisional representative, the Authority must indicate against the individual’s name in the public register of representatives the new expiry date of the suspension, or indicate that the individual is no longer suspended, as the case may be. [1/2009] (8) The Authority must not take any action under subsection (1) or (2)( a ) on the ground mentioned in subsection (1)( n ), if — ( a ) in a case where the information or document was provided by the individual to the Authority, the individual proves that he or she had — (i) made all inquiries (if any) that were reasonable in the circumstances; and (ii) after doing so, believed on reasonable grounds that the information or document was not false or misleading; or ( b ) in a case where the information or document was provided by the principal to the Authority and — (i) such information or document was provided to the principal by the individual, the individual proves that he or she had — (A) made all inquiries (if any) that were reasonable in the circumstances; and (B) after doing so, believed on reasonable grounds that the information or document was not false or misleading; or (ii) such information or document was not provided to the principal by the individual, the principal proves that he or she had — (A) made all inquiries (if any) that were reasonable in the circumstances; and (B) after doing so, believed on reasonable grounds that the information or document was not false or misleading. [1/2009] (9) Subject to subsection (10), the Authority must not take any action under subsection (1) or (2)( a ) or ( b )(i) without giving the individual an opportunity to be heard. [1/2009] (10) The Authority may take action under subsection (1) or (2)( a ) or ( b )(i) on any of the following grounds without giving the individual an opportunity to be heard: ( a ) the individual is an undischarged bankrupt, whether in Singapore or elsewhere; ( b ) a prohibition order has been made, and remains in force, against the individual; [Act 18 of 2022 wef 31/07/2024] ( c ) the individual has been convicted, whether in Singapore or elsewhere, of an offence — (i) involving fraud or dishonesty or the conviction for which involved a finding that the individual had acted fraudulently or dishonestly; and (ii) punishable with imprisonment for a term of 3 months or more; ( d ) the ground mentioned in subsection (1)( t )(i) or (ii). [1/2009] (11) Any revocation or suspension by the Authority shall not operate so as to — ( a ) avoid or affect any agreement, transaction or arrangement relating to any investment product entered into by such individual, whether the agreement, transaction or arrangement was entered into before, on or after the revocation or suspension, as the case may be; or ( b ) affect any right, obligation or liability arising under any such agreement, transaction or arrangement. [23J [1/2009]


document_id: faa-2001
provision_ref: s31
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 31
title: Power of Authority to impose conditions or restrictions
content:
31. —(1) The Authority may, by written notice to an appointed or provisional representative, impose such conditions or restrictions as it thinks fit on the appointed or provisional representative. [1/2009] (2) Without limiting subsection (1), the Authority may, in entering the appointed or provisional representative’s name in the public register of representatives, impose conditions or restrictions with respect to the type of financial advisory service which the appointed or provisional representative may or may not provide. [1/2009] (3) The Authority may, at any time by written notice to the appointed or provisional representative, vary any condition or restriction or impose such further condition or restriction as it may think fit. [1/2009] (4) Any person who contravenes any condition or restriction imposed by the Authority under this section shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [23K [1/2009]


document_id: faa-2001
provision_ref: s32
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 32
title: False statements in relation to notification of appointed or provisional representative
content:
32. —(1) Any principal who, in connection with the lodgment of any document under section 26 — ( a ) makes a statement which is false or misleading in a material particular; or ( b ) omits to state any matter or thing without which the document is misleading in a material respect, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [1/2009] (2) Any individual who, in connection with the lodgment by the individual’s principal of any document under section 26 — ( a ) makes a statement to the individual’s principal which is false or misleading in a material particular, being a statement subsequently lodged with the Authority; or ( b ) omits to state any matter or thing to the individual’s principal as a result of which the document is misleading in a material respect, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [1/2009] (3) Any person who, when required to provide any document or information to the Authority under section 23(3) or 24(4) (in relation to the application of section 23(3) to a provisional representative) — ( a ) makes a statement to the Authority which is false or misleading in a material particular; or ( b ) omits to state any matter or thing to the Authority without which the document or information is misleading in a material respect, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [1/2009] (4) A person mentioned in subsection (1), (2) or (3) shall not be guilty of an offence if the person proves that the person — ( a ) made all inquiries (if any) that were reasonable in the circumstances; and ( b ) after doing so, believed on reasonable grounds that the statement made or the omission to state the matter or thing (as the case may be) was not false or misleading. [23L [1/2009]


document_id: faa-2001
provision_ref: s33
chapter: PART 2 - FINANCIAL ADVISERS AND REPRESENTATIVES
section: 33
title: Appeals
content:
33. Any person who is aggrieved by — ( a ) the refusal of the Authority under section 30(1) to enter the person’s name and other particulars in the public register of representatives, or to enter an additional type of financial advisory service for the person in that register; or ( b ) the revocation or suspension of the person’s status as an appointed or provisional representative under section 30(1) or (2)( a ), may, within 30 days after the person is notified of the decision of the Authority, appeal to the Minister whose decision is final. [23M [1/2009]


document_id: faa-2001
provision_ref: s34
chapter: PART 3 - CONDUCT OF BUSINESS
section: 34
title: Obligation to disclose product information to clients
content:
34. —(1) A licensed financial adviser must disclose, to every client and prospective client, all material information relating to any designated investment product that the licensed financial adviser recommends to such person, including — ( a ) the terms and conditions of the designated investment product; ( b ) the benefits to be, or likely to be, derived from the designated investment product, and the risks that may arise from the designated investment product; ( c ) the premium, costs, expenses, fees or other charges that may be imposed in respect of the designated investment product; ( d ) where the designated investment product is a unit in a collective investment scheme, the name of the manager of the scheme and the relationship between the licensed financial adviser and the manager; ( e ) where the designated investment product is a life policy, the name of the licensed insurer under the life policy and the relationship between the licensed financial adviser and the insurer; and ( f ) such other information as the Authority may prescribe. [1/2009; 11/2013] (2) The Authority may specify, in written directions, the information required to be disclosed under subsection (1)( a ), ( b ) or ( c ), and the form or manner in which information relating to any designated investment product may be disclosed to any client of a licensed financial adviser. [1/2009] (3) The Authority may, in writing, require a licensed financial adviser to submit to it — ( a ) all written communication which sets out information relating to any designated investment product for the time being in use by the licensed financial adviser; and ( b ) where any written communication mentioned in paragraph ( a ) is not in English, a translation of such written communication in English. [1/2009] (4) If it appears to the Authority, after affording the licensed financial adviser an opportunity to make representations orally or in writing, that any written communication submitted under subsection (3) contravenes any provision of this Act, or is in any respect likely to mislead, the Authority may, in writing, direct the licensed financial adviser to discontinue the use, in Singapore, of the written communication immediately or from a specified date. [1/2009] (5) Any licensed financial adviser who — ( a ) contravenes subsection (1); ( b ) fails to comply with a requirement imposed by the Authority under subsection (3); or ( c ) fails to comply with a direction of the Authority under subsection (4), shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 12 months or to both. [1/2009] (6) Where, on or after 18 March 2013 — ( a ) a licensed financial adviser, in making a recommendation to a person, contravenes subsection (1); ( b ) that person does, or refrains from doing, a particular act as a result of that contravention; ( c ) it is reasonable, having regard to that contravention and all other relevant circumstances, for that person to do, or refrain from doing (as the case may be) that act as a result of that contravention; and ( d ) that person suffers any loss or damage as a result of doing, or refraining from doing (as the case may be) that act, then, without affecting any other remedy available to that person, the licensed financial adviser is liable to pay damages to that person in respect of that loss or damage. [35/2012] (7) In this section — “client”, in relation to a designated investment product which is a group life policy under which any person insured is liable to pay the premium, includes every person insured under the group life policy; “designated investment product” means a unit in a collective investment scheme, a life policy (including a group life policy), or such other investment product as the Authority may prescribe; “written communication” includes a brochure, a leaflet, a circular or an advertising matter, whether in electronic, print or other form. [25


document_id: faa-2001
provision_ref: s35
chapter: PART 3 - CONDUCT OF BUSINESS
section: 35
title: False or misleading statements, etc., by licensed financial advisers
content:
35. —(1) A licensed financial adviser must not make a false or misleading statement — ( a ) as to any amount that would be payable in respect of a proposed contract in respect of any investment product; ( b ) as to the effect of any provision of a contract or a proposed contract in respect of any investment product; or ( c ) in connection with the provision of any financial advisory service, if, when the licensed financial adviser makes the statement — ( d ) the licensed financial adviser does not care whether the statement is true or false; or ( e ) the licensed financial adviser knows or ought reasonably to have known that the statement is false or misleading. [35/2012] (2) A licensed financial adviser must not, in connection with the provision of any financial advisory service — ( a ) employ any device, scheme or artifice to defraud; or ( b ) engage in any act, practice or course of business which operates as a fraud or deception, or is likely to operate as a fraud or deception, on any person. [35/2012] (3) Where, on or after 18 March 2013 — ( a ) a licensed financial adviser makes a false or misleading statement mentioned in subsection (1) and thereby contravenes that subsection; ( b ) a person, in reliance on that statement, does, or refrains from doing, a particular act; ( c ) it is reasonable, having regard to that statement and all other relevant circumstances, for that person to do, or refrain from doing (as the case may be) that act, in reliance on that statement; and ( d ) that person suffers any loss or damage as a result of doing, or refraining from doing, (as the case may be) that act, then, without affecting any other remedy available to that person, the licensed financial adviser is liable to pay damages to that person in respect of that loss or damage. [35/2012] (4) Where, on or after 18 March 2013 — ( a ) a licensed financial adviser contravenes subsection (2); ( b ) a person does, or refrains from doing, a particular act as a result of that contravention; ( c ) it is reasonable, having regard to that contravention and all other relevant circumstances, for that person to do, or refrain from doing (as the case may be) that act as a result of that contravention; and ( d ) that person suffers any loss or damage as a result of doing, or refraining from doing (as the case may be) that act, then, without affecting any other remedy available to that person, the licensed financial adviser is liable to pay damages to that person in respect of that loss or damage. [35/2012] (5) A reference in subsection (1) to the making of a false or misleading statement includes a reference to omitting to disclose any matter that is material to the statement. [35/2012] (6) Any licensed financial adviser who contravenes subsection (1) or (2) shall, even if a contract does not come into being, be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 or to imprisonment for a term not exceeding 12 months or to both. [26 [1/2009; 35/2012]


document_id: faa-2001
provision_ref: s36
chapter: PART 3 - CONDUCT OF BUSINESS
section: 36
title: Recommendations by licensed financial advisers
content:
36. —(1) A licensed financial adviser must not make a recommendation with respect to any investment product to a person who may reasonably be expected to rely on the recommendation if the licensed financial adviser does not have a reasonable basis for making the recommendation to the person. [1/2009] (2) For the purposes of subsection (1), a licensed financial adviser does not have a reasonable basis for making a recommendation to a person unless — ( a ) the licensed financial adviser has, for the purposes of ascertaining that the recommendation is appropriate, having regard to the information possessed by the licensed financial adviser concerning the investment objectives, financial situation and particular needs of the person, given such consideration to, and conducted such investigation of, the subject matter of the recommendation as is reasonable in all the circumstances; and ( b ) the recommendation is based on the consideration and investigation mentioned in paragraph ( a ). [1/2009] (3) Where — ( a ) a licensed financial adviser, in making a recommendation to a person, contravenes subsection (1); ( b ) the person, in reliance on the recommendation, does a particular act, or refrains from doing a particular act; ( c ) it is reasonable, having regard to the recommendation and all other relevant circumstances, for the person to do that act, or to refrain from doing that act (as the case may be) in reliance on the recommendation; and ( d ) the person suffers loss or damage as a result of doing that act, or refraining from doing that act (as the case may be), then, without affecting any other remedy available to that person, the licensed financial adviser is liable to pay damages to that person in respect of that loss or damage. [1/2009] (4) In this section, a reference to the making of a recommendation is a reference to the making of a recommendation expressly or by implication. (5) This section does not apply to any licensed financial adviser or class of licensed financial advisers in such circumstances or under such conditions as may be prescribed. [27 [1/2009]


document_id: faa-2001
provision_ref: s37
chapter: PART 3 - CONDUCT OF BUSINESS
section: 37
title: Receipt of client’s money or property
content:
37. —(1) Without limiting section 135(1), the Authority may, by regulations — ( a ) determine the manner in which a licensed financial adviser may receive or deal with client’s money or property; or ( b ) prohibit licensed financial advisers from receiving or dealing with client’s money or property in specified circumstances or in relation to specified activities. [1/2009] (2) A lien or claim on client’s money or property in any account, which may be required to be established by any licensed financial adviser under regulations made under subsection (1), is void unless the moneys in the account are for fees due and owing to the licensed financial adviser. [1/2009] (3) A charge or mortgage on client’s money or property in any account, which may be required to be established by any licensed financial adviser under regulations made under subsection (1), is void. [1/2009] (4) In this section, “client’s money or property” means money received or retained by, or property deposited with, a licensed financial adviser in the course of the licensed financial adviser’s business as such for which the licensed financial adviser is liable to account to another person. [28 [1/2009]


document_id: faa-2001
provision_ref: s38
chapter: PART 3 - CONDUCT OF BUSINESS
section: 38
title: Obligation to provide information to Authority
content:
38. —(1) The Authority may, in writing, require any licensed financial adviser to provide it with information about any matter related to its business whether carried on in Singapore or elsewhere if, in the opinion of the Authority, it requires the information for the discharge of its functions under this Act. [1/2009] (2) A licensed financial adviser which has been required to provide information to the Authority under subsection (1) must comply with such requirement. [1/2009] (3) Any person who, without reasonable excuse, contravenes subsection (2) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 12 months or to both and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [29


document_id: faa-2001
provision_ref: s39
chapter: PART 3 - CONDUCT OF BUSINESS
section: 39
title: Saving for validity of transactions
content:
39. —(1) Subject to subsection (3), a contravention of any requirement of this Act (including requirements in regulations made for the purposes of this Act) does not affect the validity or enforceability of any agreement, transaction or arrangement. (2) Failure to comply with any code, guideline, policy statement or practice note issued under section 74 does not affect the validity of any agreement, transaction or arrangement. (3) Subsection (1) has effect subject to any express provision to the contrary in this Act or in any regulations made for the purposes of another provision of this Act. (4) Without limiting section 135(1), the regulations mentioned in subsection (3) may provide that a contravention of any requirement of this Act has a specified effect on the validity or enforceability of any agreement, transaction or arrangement. [30 Division 2 &#x2014; Life Insurance


document_id: faa-2001
provision_ref: s40
chapter: PART 3 - CONDUCT OF BUSINESS
section: 40
title: Application of this Division
content:
40. This Division applies to licensed financial advisers who provide any financial advisory service in respect of life policies. [31 [1/2009]


document_id: faa-2001
provision_ref: s41
chapter: PART 3 - CONDUCT OF BUSINESS
section: 41
title: Insurance broking premium accounts
content:
41. —(1) Every licensed financial adviser which receives any money — ( a ) from or on behalf of an insured or intending insured for or on account of an insurer in connection with a contract of insurance or a proposed contract of insurance; or ( b ) from or on behalf of an insurer for or on account of an insured or intending insured, must, for the purposes of this section, establish and maintain a separate account with a bank licensed under the Banking Act 1970. [15/2003] (2) The Authority may prescribe, in relation to an account established under subsection (1) — ( a ) the types of moneys that must be paid into or withdrawn from such account; ( b ) the manner in which moneys should be paid into or withdrawn from such account; ( c ) the manner in which moneys held in such account are to be invested; ( d ) the manner in which the proceeds from the investment of moneys held in such account are to be distributed; ( e ) the rights and obligations of any party in relation to moneys held in such account; and ( f ) any other matter which the Authority considers to be incidental to or necessary for this section. (3) A lien or claim on the moneys in any account established by any licensed financial adviser under subsection (1) is void unless the moneys in the account are for fees due and owing to the licensed financial adviser. (4) A charge or mortgage on the moneys in any account established by any licensed financial adviser under subsection (1) is void. (5) In this section, “moneys” means any sum received by a licensed financial adviser as agent for an insured or intending insured, including policy moneys, premiums and claims payments. (6) Any licensed financial adviser who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $100,000. [32


document_id: faa-2001
provision_ref: s42
chapter: PART 3 - CONDUCT OF BUSINESS
section: 42
title: Negotiation and placement of risk with unlicensed insurer
content:
42. —(1) Subject to subsection (4), a licensed financial adviser must not, in the course of the licensed financial adviser’s business as such, negotiate any contract of insurance with an insurer (directly or indirectly) except with a licensed insurer acting in the course of his business as such. [1/2009; 11/2013] (2) The reference in subsection (1) to a contract of insurance does not apply to — ( a ) reinsurance; ( b ) business relating to risks outside Singapore; or ( c ) such other risks as may be prescribed. (3) In subsection (2)( b ), “risks outside Singapore” means any risk which would be classified as an offshore policy as defined in the First Schedule to the Insurance Act 1966 had the risk been underwritten by a licensed insurer in Singapore. [11/2013] (4) Where in any particular case the Authority is satisfied that, by reason of the exceptional nature of the risk or other exceptional circumstances, it is not reasonably practicable to comply with subsection (1), the Authority may permit any licensed financial adviser — ( a ) to negotiate the contract of insurance with such insurer as the licensed financial adviser sees fit; and ( b ) if in the opinion of the Authority the case requires it, to effect the contract of insurance and receive the premium in Singapore on behalf of such insurer. [1/2009] (5) Any person who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 3 years or to both. [33


document_id: faa-2001
provision_ref: s43
chapter: PART 3 - CONDUCT OF BUSINESS
section: 43
title: Representations by licensed financial advisers
content:
43. —(1) A licensed financial adviser must not, with intent to deceive, in relation to a proposed contract of insurance — ( a ) write on a form, being a form that is given or sent to an insurer, any matter that is material to the contract and is false or misleading in a material particular; ( b ) omit to disclose to the insurer any matter that is material to the proposed contract; ( c ) advise or induce the intending insured to write on a form, being a form that is given or sent to the insurer, any matter that is false or misleading in a material particular; or ( d ) advise or induce the intending insured to omit to disclose to the insurer any matter that is material to the proposed contract. [1/2009] (2) A licensed financial adviser must not, with intent to deceive, in relation to a claim under a contract of insurance — ( a ) fill up, in whole or in part, a form, being a form that is given or sent to an insurer, in such a way that the form is false or misleading in a material particular; ( b ) omit to disclose to the insurer any matter that is material to the claim; ( c ) induce the insured to fill up, in whole or in part, a form, being a form that is given or sent to the insurer, in such a way that the form is false or misleading in a material particular; or ( d ) advise or induce the insured to omit to disclose to the insurer any matter that is material to the claim. [1/2009] (3) Any licensed financial adviser who contravenes this section shall, even if a contract of insurance does not come into being, be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 12 months or to both. [34 [1/2009] Division 3 &#x2014; Specified Products [4/2017]


document_id: faa-2001
provision_ref: s44
chapter: PART 3 - CONDUCT OF BUSINESS
section: 44
title: Application of this Division
content:
44. This Division applies to licensed financial advisers who provide any financial advisory service in respect of specified products. [35 [1/2009; 4/2017]


document_id: faa-2001
provision_ref: s45
chapter: PART 3 - CONDUCT OF BUSINESS
section: 45
title: Licensed financial adviser to disclose certain interests in specified products
content:
45. —(1) Where a licensed financial adviser sends a circular or other similar written communication in which the licensed financial adviser makes a recommendation, whether expressly or by implication, with respect to any specified products, the licensed financial adviser must include in the circular or other communication, in type not less legible than that used in the remainder of the circular or other communication, a concise statement of the nature of any interest in, or any interest in the acquisition or disposal of, the specified products that the licensed financial adviser, or a person associated with or connected to the licensed financial adviser, has at the date on which the circular or other communication is sent. [1/2009; 4/2017] (2) Where a licensed financial adviser is charged with an offence in respect of a contravention of subsection (1), it is a defence for the licensed financial adviser to prove that, at the time the circular or other communication was sent, the licensed financial adviser was not aware and could not reasonably be expected to have been aware — ( a ) that the licensed financial adviser had an interest in, or an interest in the acquisition or disposal of, the specified products; or ( b ) that the person associated with or connected to the licensed financial adviser had an interest in, or an interest in the acquisition or disposal of, the specified products, as the case may be. [1/2009; 4/2017] (3) For the purposes of subsections (1) and (2) — ( a ) an interest of a person in the disposal of any specified products includes any financial benefit or advantage that will, or is likely to, accrue directly or indirectly to the person, upon or arising out of the disposal of the specified products; ( b ) without limiting paragraph ( a ), a person who has entered into an underwriting agreement in respect of any specified products is deemed to have an interest in the acquisition or disposal of the specified products; and ( c ) despite section 2(1) or 3, a person is not connected to or associated with another person unless the person and the other person are acting jointly, or otherwise acting under or in accordance with an arrangement made between them, in relation to the sending of the circular or other communication. [4/2017] (4) When a licensed financial adviser sends to a person a circular or other communication to which subsection (1) applies, the licensed financial adviser must preserve a copy of the circular or other communication for 5 years. [1/2009] (5) For the purposes of this section, a circular or other communication sent to a person is, if it is signed by an officer of a licensed financial adviser, deemed to have been sent by the financial adviser. (6) The Authority may, by regulations, exempt any person or class of persons, or any specified products or class of specified products, from the application of this section, subject to such terms or conditions as the Authority considers appropriate. [4/2017] (7) Any licensed financial adviser who contravenes this section shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 12 months or to both. [36 [1/2009] Division 4 &#x2014; Appointed and Provisional Representatives


document_id: faa-2001
provision_ref: s46
chapter: PART 3 - CONDUCT OF BUSINESS
section: 46
title: Business conduct requirements for appointed and provisional representatives
content:
46. —(1) Subject to the provisions of this Act, sections 34, 35, 36, 38, 42, 43 and 45 apply, with the necessary modifications, to an appointed or provisional representative in respect of his or her acting as such as if he or she were a licensed financial adviser. [1/2009] (2) The Authority may, on the application of a licensed financial adviser or an exempt financial adviser, exempt any of its representatives from complying with any of the provisions mentioned in subsection (1). [1/2009] (3) An exemption granted under subsection (2) need not be published in the Gazette . [1/2009] (4) The Authority may withdraw an exemption granted to any person under subsection (2) if the person contravenes any provision of this Act, or if the Authority considers it necessary in the public interest. [1/2009] (5) Where the Authority withdraws an exemption granted to any person under subsection (2), the Authority need not give the person an opportunity to be heard. [1/2009] (6) A licensed financial adviser or an exempt financial adviser which is aggrieved by the decision of the Authority to withdraw an exemption granted to any of its appointed or provisional representatives under subsection (2) may, within 30 days of the decision, appeal in writing to the Minister. [1/2009] (7) A withdrawal under subsection (4) of an exemption granted to any person does not operate so as to — ( a ) avoid or affect any agreement, transaction or arrangement relating to any investment product entered into by the person, whether the agreement, transaction or arrangement was entered into before, on or after the withdrawal of the exemption; or ( b ) affect any right, obligation or liability arising under any agreement, transaction or arrangement mentioned in paragraph ( a ). [37 [1/2009] Division 5 &#x2014; Remuneration


document_id: faa-2001
provision_ref: s47
chapter: PART 3 - CONDUCT OF BUSINESS
section: 47
title: Remuneration framework for representatives and supervisors
content:
47. —(1) A licensed financial adviser must establish and maintain a remuneration framework in conformity with subsection (2) for the purpose of — ( a ) reviewing and assessing the performance of its representatives and its supervisors; and ( b ) determining the remuneration of its representatives and supervisors. [18/2015] (2) Every remuneration framework in respect of representatives and supervisors of a licensed financial adviser must contain terms consistent with the requirements prescribed under section 135 or specified by the Authority by written notice, from time to time. [18/2015] (3) A licensed financial adviser must ensure that every agreement or arrangement entered into between the licensed financial adviser and each of its representatives or supervisors on or after 1 January 2016 does not contain terms which are inconsistent with the remuneration framework mentioned in subsection (1). [18/2015] (4) A licensed financial adviser must — ( a ) review and assess the performance, and determine the remuneration of its representatives and supervisors; and ( b ) pay remuneration accruing on or after 1 January 2016 to its representatives and supervisors, in accordance with the remuneration framework mentioned in subsection (1). [18/2015] (5) This section applies despite — ( a ) any written law in force on 1 January 2016 or rule of law to the contrary; or ( b ) any agreement or arrangement entered into before, on or after 1 January 2016. [18/2015] (6) In carrying out any act in accordance with the remuneration framework mentioned in subsection (1), the licensed financial adviser is not to be treated as having — ( a ) breached any rule of law or written law mentioned in subsection (5)( a ); or ( b ) breached any agreement or arrangement mentioned in subsection (5)( b ) entered into before 1 January 2016, and no such agreement or arrangement is taken to be brought to an end by frustration solely by reason of any act done in compliance with the remuneration framework or any requirements prescribed or specified under subsection (2). [18/2015] (7) Any licensed financial adviser who contravenes subsection (1), (3) or (4) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [18/2015] (8) The Authority may by regulations under section 135 prescribe — ( a ) the persons to whom this section does not apply; and ( b ) the circumstances in which this section does not apply. [18/2015] (9) A written notice issued under this section need not be published in the Gazette . [18/2015] (10) In this section, “remuneration” includes — ( a ) any monetary commission, incentive, benefit or reward; ( b ) any non-monetary incentive, benefit or reward; and ( c ) such other consideration as may be prescribed under section 135 or specified by the Authority by written notice. [38 [18/2015]


document_id: faa-2001
provision_ref: s48
chapter: PART 3 - CONDUCT OF BUSINESS
section: 48
title: Independent sales audit unit
content:
48. —(1) A licensed financial adviser must have an independent sales audit unit comprising only individuals who have the qualification or experience and perform the duties prescribed under section 135 or specified by the Authority by written notice. [18/2015] (2) The licensed financial adviser must ensure that the independent sales audit unit reports only to — ( a ) the board of directors and chief executive officer of the licensed financial adviser; or ( b ) such other unit of the licensed financial adviser determined by the board of directors or the chief executive officer, which is independent from all units of the licensed financial adviser which provide financial advisory services. [18/2015] (3) The licensed financial adviser must ensure that the independent sales audit unit — ( a ) audits the quality of the financial advisory services provided by the representatives of the licensed financial adviser at such times and in such manner as may be prescribed under section 135 or specified by the Authority by written notice; ( b ) carries out such other functions and duties as may be prescribed under section 135 or specified by the Authority by written notice; and ( c ) applies the processes, criteria and methods prescribed (if any) under section 135 or specified by the Authority by written notice, in connection with the functions and duties in paragraphs ( a ) and ( b ). [18/2015] (4) Any licensed financial adviser who contravenes subsection (1), (2) or (3) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. [18/2015] (5) The Authority may by regulations under section 135 prescribe — ( a ) the licensed financial adviser or class of licensed financial advisers to whom this section does not apply; and ( b ) the circumstances in which this section does not apply. [18/2015] (6) A written notice issued under this section need not be published in the Gazette . [39 [18/2015]


document_id: faa-2001
provision_ref: s49
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 49
title: Accounts to be kept by licensed financial advisers
content:
49. —(1) A licensed financial adviser must prepare, and lodge with the Authority, such statements of accounts and other statements and in such form and manner as may be prescribed. (2) A licensed financial adviser must — ( a ) keep, or cause to be kept, such books as will sufficiently explain the transactions and financial position of the financial adviser in Singapore and enable true and fair profit and loss accounts and balance sheets to be prepared from time to time; and ( b ) keep, or cause to be kept, such books, in such manner as will enable them to be conveniently and properly audited. (3) A licensed financial adviser must retain such books as may be required to be kept under this Act for such period as may be prescribed. (4) An entry in the books of a licensed financial adviser required to be kept in accordance with this Division is deemed to have been made by, or with the authority of, the licensed financial adviser. (5) Any licensed financial adviser who contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 and, in the case of a continuing offence, to a further fine not exceeding $5,000 for every day or part of a day during which the offence continues after conviction. (6) Any licensed financial adviser who contravenes subsection (2) or (3) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [45


document_id: faa-2001
provision_ref: s50
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 50
title: Duty of licensed financial adviser to provide Authority with returns, records and information
content:
50. —(1) A licensed financial adviser must — ( a ) provide such returns and records, relating to its business, to the Authority in such form and manner as may be prescribed or as may be notified in writing by the Authority; and ( b ) provide such information relating to its business as the Authority may require. (2) Any licensed financial adviser who contravenes this section shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 and, in the case of a continuing offence, to a further fine not exceeding $5,000 for every day or part of a day during which the offence continues after conviction. [46 Division 2 &#x2014; Audit


document_id: faa-2001
provision_ref: s51
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 51
title: Appointment of auditors
content:
51. —(1) A licensed financial adviser must appoint an auditor to audit its accounts and statements prepared under section 49(1) and where, for any reason, the auditor ceases to act for such financial adviser, the financial adviser must, as soon as practicable thereafter, appoint another auditor. (2) Any licensed financial adviser who contravenes this section shall be guilty of an offence. [47


document_id: faa-2001
provision_ref: s52
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 52
title: Lodgment of annual accounts, etc., by licensed financial adviser
content:
52. —(1) A licensed financial adviser must, in respect of each financial year — ( a ) prepare a true and fair profit and loss account and a balance sheet made up to the last day of the financial year; and ( b ) lodge that account and balance sheet with the Authority within 5 months, or such extension thereof permitted by the Authority under subsection (2), after the end of the financial year, together with a report in the prescribed form of an auditor appointed under section 51 on the account and balance sheet and such other statements lodged under section 49(1). (2) Where an application for an extension of the period of 5 months specified in subsection (1) has been made by a licensed financial adviser to the Authority and the Authority is satisfied that there is any special reason for requiring the extension, the Authority may extend the period by not more than 4 months, subject to such conditions as the Authority may think fit to impose. (3) Despite any other provision of this Act or the provisions of the Companies Act 1967, the Authority may, if it is not satisfied with the performance of duties by an auditor appointed by a licensed financial adviser under section 51 — ( a ) at any time direct the licensed financial adviser to remove the auditor; and ( b ) direct the licensed financial adviser, as soon as practicable thereafter, to appoint another auditor, and the licensed financial adviser must comply with such direction. (4) Any licensed financial adviser who contravenes subsection (1)( b ) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $500 for every day or part of a day that the lodgment is late, subject to a maximum of $50,000. (5) Any licensed financial adviser who contravenes any condition imposed under subsection (2) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. (6) Any licensed financial adviser who contravenes subsection (3) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [48


document_id: faa-2001
provision_ref: s53
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 53
title: Reports by auditor to Authority in certain cases
content:
53. —(1) Where, in the performance of his or her duties as an auditor for a licensed financial adviser, an auditor becomes aware of — ( a ) any matter which, in the auditor’s opinion, adversely affects or may adversely affect the financial position of the financial adviser to a material extent; ( b ) any matter which, in the auditor’s opinion, constitutes or may constitute a contravention of any provision of this Act or an offence involving fraud or dishonesty; or ( c ) any irregularity that has or may have a material effect upon the accounts, including any irregularity that jeopardises the moneys or other assets of the clients of the financial adviser, the auditor must immediately thereafter submit a report in writing of the matter or the irregularity to the Authority. (2) The Authority may impose all or any of the following duties on an auditor for a licensed financial adviser: ( a ) a duty to submit to the Authority such additional information in relation to the auditor’s audit as the Authority considers necessary; ( b ) a duty to enlarge or extend the scope of the auditor’s audit of the business and affairs of the financial adviser; ( c ) a duty to carry out any other examination or establish any procedure in any particular case; ( d ) a duty to submit a report to the Authority on any of the matters referred to in paragraphs ( b ) and ( c ), and the auditor must carry out such duty or duties. (3) The licensed financial adviser must remunerate the auditor in respect of the discharge of such duty or duties as the Authority may impose on the auditor under subsection (2). (4) Any auditor who contravenes subsection (1) or (2) shall be guilty of an offence. (5) Any licensed financial adviser who contravenes subsection (3) shall be guilty of an offence. [49


document_id: faa-2001
provision_ref: s54
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 54
title: Power of Authority to appoint auditor
content:
54. —(1) Where — ( a ) a licensed financial adviser fails to lodge an auditor’s report under section 52(1)( b ); or ( b ) the Authority receives a report under section 53(1), the Authority may, without affecting its powers under section 53(2), if it is satisfied that it is in the interests of the financial adviser, its clients or the general public to do so, appoint in writing an auditor to examine and audit, either generally or in relation to any particular matter, the books of the financial adviser. (2) Where the Authority is of the opinion that the whole or any part of the costs and expenses of an auditor appointed by the Authority under subsection (1) should be borne by the licensed financial adviser, the Authority may, in writing, direct the licensed financial adviser to pay a specified amount, being the whole or part of such costs and expenses, within such time and in such manner as may be specified in the direction. (3) Where a licensed financial adviser fails to comply with a direction under subsection (2) to pay the specified amount or any part thereof, such amount may be sued for and recovered by the Authority as a civil debt. (4) An auditor appointed under subsection (1) must, on the conclusion of the examination and audit, submit a report thereon to the Authority. (5) Any auditor who contravenes subsection (4) shall be guilty of an offence. [50


document_id: faa-2001
provision_ref: s55
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 55
title: Powers of auditor appointed by Authority
content:
55. —(1) An auditor appointed by the Authority under section 54(1) may, for the purpose of carrying out an examination and audit — ( a ) examine, on oath or affirmation, any officer, employee or agent of the licensed financial adviser, or any other auditor for the licensed financial adviser appointed under this Act; ( b ) require any officer, employee or agent of the licensed financial adviser, or any other auditor for the licensed financial adviser appointed under this Act, to produce any of the books held by or on behalf of the licensed financial adviser relating to its business, or to make copies of or take extracts from, or retain possession of, such books for such period as may be necessary to enable them to be inspected; ( c ) employ such persons as the auditor considers necessary to assist him or her in carrying out the examination and audit; and ( d ) authorise in writing any person employed by the auditor to do, in relation to the examination and audit, any act or thing that he or she could do as an auditor under this subsection, other than the examination of a person on oath or affirmation. (2) Any person who, without reasonable excuse, refuses or fails to answer any question put to him or her, or fails to comply with any request made to him or her, by an auditor appointed under section 54(1) or a person authorised under subsection (1)( d ) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 or to imprisonment for a term not exceeding 12 months or to both. [51


document_id: faa-2001
provision_ref: s56
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 56
title: Restriction on auditor’s and employee’s right to communicate certain matters
content:
56. —(1) Except as may be necessary for the carrying into effect of the provisions of this Act or so far as may be required for the purposes of any legal proceedings, whether civil or criminal, an auditor carrying out any duty imposed under section 53(2) or appointed under section 54(1), and any employee of such auditor, must not disclose any information which may come to his or her knowledge or possession in the course of performing his or her duties as such auditor or employee (as the case may be) to any person other than — ( a ) the Authority; and ( b ) in the case of an employee of such auditor, the auditor. (2) Any person who contravenes this section shall be guilty of an offence and shall be liable on conviction — ( a ) in the case of an auditor, to a fine not exceeding $50,000; or ( b ) in the case of an employee of an auditor, to a fine not exceeding $25,000. [52


document_id: faa-2001
provision_ref: s57
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 57
title: Defamation
content:
57. —(1) An auditor or employee of such auditor must not, in the absence of malice on his or her part, be liable to any action for defamation at the suit of any person in respect of — ( a ) any statement made orally or in writing in the discharge of his or her duties under this Part; or ( b ) the submission of any report to the Authority under section 53(1) or (2)( d ) or 54(4). (2) Subsection (1) does not restrict or otherwise affect any right, privilege or immunity that, apart from this section, the auditor or his or her employee has as a defendant in an action for defamation. [53


document_id: faa-2001
provision_ref: s58
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 58
title: Offence to destroy, conceal, alter, etc., records
content:
58. —(1) Any person who, with intent to prevent, delay or obstruct the carrying out of any examination or audit under this Part — ( a ) destroys, conceals or alters any book relating to the business of a licensed financial adviser; or ( b ) sends, or conspires with any other person to send, out of Singapore, any book or asset of any description belonging to, in the possession of or under the control of the licensed financial adviser, shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 or to imprisonment for a term not exceeding 2 years or to both. (2) If, in any proceedings for an offence under subsection (1), it is proved that the person charged with the offence — ( a ) destroyed, concealed or altered any book mentioned in subsection (1)( a ); or ( b ) sent, or conspired to send, out of Singapore, any book or asset mentioned in subsection (1)( b ), the onus of proving that, in so doing, the person did not act with intent to prevent, delay or obstruct the carrying out of an examination and audit under this Part lies on the person. [54


document_id: faa-2001
provision_ref: s59
chapter: PART 4 - ACCOUNTS AND AUDIT
section: 59
title: Safeguarding of records by licensed financial adviser
content:
59. —(1) A licensed financial adviser must take reasonable steps — ( a ) to prevent falsification of the books required to be kept by it under this Act; and ( b ) to facilitate the discovery of any falsification of any such book. (2) Any licensed financial adviser who contravenes this section shall be guilty of an offence. [55


document_id: faa-2001
provision_ref: s60
chapter: PART 4A - PROHIBITED BUSINESSES
section: 60
title: Prohibited businesses of licensed financial advisers in Singapore
content:
60. —(1) A licensed financial adviser in Singapore must not — ( a ) carry on any business, whether in Singapore or elsewhere; or ( b ) enter into any partnership, joint venture or any other arrangement with any person to carry on any business, whether in Singapore or elsewhere, except the following: ( c ) the business of providing any financial advisory service authorised by its financial adviser’s licence; ( d ) any business, the carrying on of which is regulated or authorised by the Authority under any other written law or would be so regulated or authorised by the Authority if carried on in Singapore; ( e ) such other business as may be prescribed under section 135 or approved by the Authority specially for the licensed financial adviser. [18/2015] (2) In prescribing or approving any business under subsection (1)( e ), the Authority may prescribe under section 135 or specify by written notice conditions which the licensed financial adviser in Singapore must comply with in relation to the business. [18/2015] (3) This section is not to be read as exempting a licensed financial adviser in Singapore from any requirement which the licensed financial adviser is required to comply with under any other written law for the conduct of any activity. [18/2015] (4) Any licensed financial adviser in Singapore who contravenes this section or fails to comply with any condition imposed or prescribed under this section shall be guilty of an offence. [18/2015] (5) A written notice issued under this section need not be published in the Gazette . [18/2015] (6) In this section, “financial adviser in Singapore” means — ( a ) a financial adviser which is incorporated in Singapore; or ( b ) in the case of a financial adviser incorporated outside Singapore, the branches or offices of the financial adviser located within Singapore. [55A [18/2015]


document_id: faa-2001
provision_ref: s61
chapter: PART 4A - PROHIBITED BUSINESSES
section: 61
title: Prohibition against acting for financial adviser for prohibited businesses
content:
61. —(1) An appointed representative or a provisional representative of a licensed financial adviser may only act (whether in Singapore or elsewhere) for the licensed financial adviser in respect of — ( a ) the business of providing any financial advisory service which the representative is appointed to provide and which is not prescribed under section 135, or specified by the Authority by written notice, to be a prohibited business; or ( b ) any business which its principal may conduct under section 60(1)( d ) or ( e ) and which is not prescribed under section 135, or specified by the Authority by written notice, to be a prohibited business. [18/2015] (2) An appointed representative or a provisional representative of an exempt financial adviser may only act (whether in Singapore or elsewhere) for the exempt financial adviser in respect of — ( a ) the business of providing any financial advisory service which the representative is appointed to provide and which is not prescribed under section 135, or specified by the Authority by written notice, to be a prohibited business; or ( b ) any other business if — (i) the principal is satisfied that the conditions prescribed under section 135 for the purposes of this section are fulfilled; and (ii) the business is not prescribed under section 135, or specified by the Authority by written notice, to be a prohibited business. [18/2015] (3) This section is not to be read as exempting an appointed representative or a provisional representative from any requirement which the appointed representative or provisional representative is required to comply with under any other written law for the conduct of any activity. [18/2015] (4) Any person who contravenes this section shall be guilty of an offence. [18/2015] (5) For the purposes of this section, a person acts for another in respect of any business whether or not the person does so under a contract of employment with the other. [18/2015] (6) A written notice issued under this section need not be published in the Gazette . [55B [18/2015]


document_id: faa-2001
provision_ref: s62
chapter: PART 4A - PROHIBITED BUSINESSES
section: 62
title: Prohibition against representative engaging in employment, etc., outside scope of appointment
content:
62. —(1) Except with the consent of the financial adviser, an appointed representative or a provisional representative of a financial adviser must not engage in, whether or not for remuneration — ( a ) any employment with another person; or ( b ) any business, trade, profession or vocation, whether for himself or herself or another person. [18/2015] (2) The financial adviser must not give its consent to the appointed representative or provisional representative unless it is satisfied that the criteria prescribed under section 135 or specified by the Authority by written notice, for the purposes of this section have been satisfied. [18/2015] (3) Any person who contravenes this section shall be guilty of an offence. [18/2015] (4) A written notice issued under this section need not be published in the Gazette . [55C [18/2015]


document_id: faa-2001
provision_ref: s63
chapter: PART 5 - POWERS OF AUTHORITY
section: 63
title: Approval of chief executive officer and director of licensed financial adviser
content:
63. —(1) Subject to subsection (3), a licensed financial adviser must not — ( a ) appoint a person as its chief executive officer or director; or ( b ) change the nature of the appointment of a person as a director from one that is non‑executive to one that is executive, unless it has obtained the approval of the Authority. [1/2009] (2) Where a licensed financial adviser has obtained the approval of the Authority to appoint a person as its chief executive officer or director under subsection (1)( a ), the person may be re‑appointed as chief executive officer or director (as the case may be) of the licensed financial adviser immediately upon the expiry of the earlier term without the approval of the Authority. [1/2009] (3) Subsection (1) must not apply to the appointment of a person as a director of a foreign company, or the change in the nature of the appointment of a person as a director of a foreign company if, at the time of the appointment or change, the person — ( a ) does not reside in Singapore; and ( b ) is not directly responsible for its business in Singapore or any part thereof. [1/2009] (4) In subsection (3), “foreign company” has the meaning given by section 4(1) of the Companies Act 1967. [1/2009] (5) Without affecting any other matter that the Authority may consider relevant, the Authority may, in determining whether to grant its approval under subsection (1), have regard to such criteria as may be prescribed or as may be specified in written directions. [1/2009] (6) Subject to subsection (7), the Authority must not refuse an application for approval under subsection (1) without giving the licensed financial adviser an opportunity to be heard. (7) The Authority may refuse an application for approval under subsection (1) on any of the following grounds without giving the licensed financial adviser an opportunity to be heard: ( a ) the person is an undischarged bankrupt, whether in Singapore or elsewhere; ( b ) a prohibition order has been made, and remains in force, against the person; [Act 18 of 2022 wef 31/07/2024] ( c ) the person has been convicted, whether in Singapore or elsewhere, of an offence — (i) involving fraud or dishonesty or the conviction for which involved a finding that the person had acted fraudulently or dishonestly; and (ii) punishable with imprisonment for a term of 3 months or more. (8) Where the Authority refuses an application for approval under subsection (1), the Authority need not give the person who was proposed to be appointed an opportunity to be heard. (9) Any licensed financial adviser which is aggrieved by the decision of the Authority under subsection (1) may, within 30 days of the decision of the Authority, appeal in writing to the Minister. (10) Any licensed financial adviser which, without reasonable excuse, contravenes subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. (11) Without affecting the Authority’s power to impose conditions or restrictions under section 10, the Authority may at any time, by written notice to a licensed financial adviser, impose on it a condition requiring it to notify the Authority of a change to any specified attribute (such as residence and nature of appointment) of its chief executive officer or director, and vary any such condition. [1/2009] (12) Any person who contravenes any condition or restriction imposed under subsection (11) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. [1/2009] (13) In this section, “chief executive officer” means any person, by whatever name described, who is — ( a ) in the direct employment of, or acting for or by arrangement with, a licensed financial adviser; and ( b ) principally responsible for the management and conduct of any type of business of the financial adviser in Singapore. [56


document_id: faa-2001
provision_ref: s64
chapter: PART 5 - POWERS OF AUTHORITY
section: 64
title: Disqualification or removal of officer of licensed financial adviser
content:
64. —(1) Despite the provisions of any other written law — ( a ) a licensed financial adviser must not, without the prior written consent of the Authority, permit an individual to act as its executive officer; and ( b ) a licensed financial adviser which is incorporated in Singapore must not, without the prior written consent of the Authority, permit an individual to act as its director, if the individual — ( c ) has been convicted, whether in Singapore or elsewhere, of an offence committed before, on or after the date of commencement of section 7 of the Financial Institutions (Miscellaneous Amendments) Act 2024, being an offence — (i) involving fraud or dishonesty; (ii) the conviction for which involved a finding that he or she had acted fraudulently or dishonestly; or (iii) that is specified in the Third Schedule to the Registration of Criminals Act 1949; ( d ) is an undischarged bankrupt, whether in Singapore or elsewhere; ( e ) has had an enforcement order against him or her in respect of a judgment debt returned unsatisfied in whole or in part; ( f ) has, whether in Singapore or elsewhere, entered into a compromise or scheme of arrangement with his or her creditors, being a compromise or scheme of arrangement that is still in operation; ( g ) has had a prohibition order or a related Acts prohibition order made against him or her that remains in force; or ( h ) has been a director of, or directly concerned in the management of, a regulated financial institution, whether in Singapore or elsewhere — (i) which is being or has been wound up by a court; or (ii) the approval, authorisation, designation, recognition, registration or licence of which has been withdrawn, cancelled or revoked (without any application by the regulated financial institution for withdrawal, cancellation or revocation) by the Authority or, in the case of a regulated financial institution in a foreign country or jurisdiction, by the regulatory authority in that foreign country or jurisdiction. (2) Despite the provisions of any other written law, where the Authority is satisfied that a director of a licensed financial adviser which is incorporated in Singapore, or an executive officer of a licensed financial adviser, is not a fit and proper person to be a director or executive officer (as the case may be) of the licensed financial adviser, the Authority may, by notice in writing to the licensed financial adviser, direct it to remove the director or executive officer (as the case may be) from his or her office or employment within such period as the Authority may specify in the notice, and the licensed financial adviser must comply with the notice. (3) For the purpose of subsection (2), the Authority may consider any matter which it considers relevant, including (but not limited to) whether — ( a ) the individual has wilfully contravened or wilfully caused the licensed financial adviser to contravene any provision of this Act; ( b ) the individual has, without reasonable excuse, failed to secure the compliance of the licensed financial adviser with this Act, the Monetary Authority of Singapore Act 1970, or any of the written laws set out in the Schedule to that Act; ( c ) the individual has failed to discharge any of the duties of his or her office or employment; ( d ) the individual’s removal is necessary in the public interest or for the protection of investors; or ( e ) the individual comes within any of the grounds mentioned in subsection (1). (4) The Authority must, in determining whether an individual has failed to discharge the duties of his or her office or employment for the purposes of subsection (3)( c ), have regard to such criteria as may be prescribed. (5) The Authority must not direct a licensed financial adviser to remove an individual from his or her office or employment under subsection (2) without giving the licensed financial adviser and that individual an opportunity to be heard, except in any of the following circumstances: ( a ) the individual is an undischarged bankrupt, whether in Singapore or elsewhere; ( b ) a prohibition order against the individual has been made that remains in force; ( c ) the individual has been convicted, whether in Singapore or elsewhere, of an offence, committed before, on or after the date of commencement of section 7 of the Financial Institutions (Miscellaneous Amendments) Act 2024 — (i) involving fraud or dishonesty or the conviction for which involved a finding that the individual had acted fraudulently or dishonestly; and (ii) punishable with imprisonment for a term of 3 months or more. (6) A licensed financial adviser must, as soon as practicable after receiving a direction under subsection (2), notify the affected director or executive officer of the direction. (7) A licensed financial adviser who receives a direction under subsection (2), or any director or executive officer of a licensed financial adviser in relation to whom a direction under subsection (2) is given, may, within 30 days after the licensed financial adviser receives the direction, appeal to the Minister whose decision is final. (8) Despite the lodging of an appeal under subsection (7), any direction under subsection (2) continues to have effect pending the Minister’s decision. (9) The Minister may, when deciding an appeal under subsection (7), modify the direction under subsection (2), and such modified action has effect starting on the date of the Minister’s decision. (10) Any licensed financial adviser who, without reasonable excuse, contravenes subsection (1) or fails to comply with a notice issued under subsection (2) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000. (11) No civil or criminal liability is incurred by a licensed financial adviser, or any person acting on behalf of a licensed financial adviser, in respect of anything done or omitted to be done with reasonable care and in good faith in the discharge or purported discharge of its obligations under this section. (12) In this section, “related Acts prohibition order” means — ( a ) an order made under section 74(1) of the Insurance Act 1966 as in force immediately before the date of commencement of section 204(1) to (4) of the Financial Services and Markets Act 2022; ( b ) an order made under section 74(1) of the Insurance Act 1966 as in force immediately before the date of commencement of section 204(1) to (4) of the Financial Services and Markets Act 2022, and as continued by section 218(2) of the Financial Services and Markets Act 2022; ( c ) a prohibition order made under section 101A(1) of the Securities and Futures Act 2001 as in force immediately before the date of commencement of section 209(1)( a ), ( c ) and ( d ), (4) to (14), (17) and (18) of the Financial Services and Markets Act 2022; ( d ) a prohibition order made under section 101A(1) of the Securities and Futures Act 2001 as in force immediately before the date of commencement of section 209(1)( a ), ( c ) and ( d ), (4) to (14), (17) and (18) of the Financial Services and Markets Act 2022, and as continued by section 220(3) of the Financial Services and Markets Act 2022; ( e ) a prohibition order made under section 123ZZC(1) of the Securities and Futures Act 2001 as in force immediately before the date of commencement of section 209(1)( a ), ( c ) and ( d ), (4) to (14), (17) and (18) of the Financial Services and Markets Act 2022; or ( f ) a prohibition order made under section 123ZZC(1) of the Securities and Futures Act 2001 as in force immediately before the date of commencement of section 209(1)( a ), ( c ) and ( d ), (4) to (14), (17) and (18) of the Financial Services and Markets Act 2022, and as continued by section 220(5) of the Financial Services and Markets Act 2022. [Act 12 of 2024 wef 24/01/2025]


document_id: faa-2001
provision_ref: s65
chapter: PART 5 - POWERS OF AUTHORITY
section: 65
title: Control of take-over of licensed financial adviser
content:
65. —(1) This section applies to all individuals whether resident in Singapore or not and whether citizens of Singapore or not, and to all bodies corporate or unincorporate, whether incorporated or carrying on business in Singapore or not. [1/2009] (2) A person must not obtain effective control of a licensed financial adviser that is a company, unless the person has obtained the prior approval of the Authority. [Act 12 of 2024 wef 24/01/2025] (3) An application for the Authority’s approval under subsection (2) must be made in writing, and the Authority may approve the application if the Authority is satisfied that — ( a ) the applicant is a fit and proper person to have effective control of the licensed financial adviser; ( b ) having regard to the applicant’s likely influence, the licensed financial adviser is likely to continue to conduct its business prudently and comply with the provisions of this Act and directions made thereunder; and ( c ) the applicant satisfies such other criteria as may be prescribed. [1/2009] [Act 12 of 2024 wef 24/01/2025] (4) Any approval under subsection (3) may be granted to the applicant subject to such conditions as the Authority may determine, including any condition — ( a ) restricting the applicant’s disposal or further acquisition of shares or voting power in the licensed financial adviser; or ( b ) restricting the applicant’s exercise of voting power in the licensed financial adviser, and the applicant must comply with such conditions. [1/2009] (4A) The Authority may at any time add to or vary any condition imposed under subsection (4) and the applicant must comply with the condition so added to or varied. [Act 12 of 2024 wef 24/01/2025] (4B) The Authority may at any time revoke any condition imposed under subsection (4) (including a condition that has been added to or varied under subsection (4A)). [Act 12 of 2024 wef 24/01/2025] (5) Any condition imposed under subsection (4) (including a condition that has been added to or varied under subsection (4A)) has effect despite any provision of the Companies Act 1967 or anything contained in the constitution of the licensed financial adviser. [1/2009] [Act 12 of 2024 wef 24/01/2025] (6) For the purposes of this section and section 66 — ( a ) a person has effective control of a licensed financial adviser — (i) if the person, alone or acting together with any connected person, holds, directly or indirectly, 20% or more of the issued share capital of the licensed financial adviser; (ii) if the person, alone or acting together with any connected person, controls, directly or indirectly, 20% or more of the voting power in the licensed financial adviser; (iii) if the licensed financial adviser or its directors are accustomed or under an obligation, whether formal or informal, to act in accordance with the directions, instructions or wishes of the person (whether conveyed by the person alone or together with any other person, and whether with or without holding shares or controlling voting power in the licensed financial adviser); or (iv) if the person (whether alone or acting together with any other person, and whether with or without holding shares or controlling voting power in the licensed financial adviser) is able to determine the policy of the licensed financial adviser; and [Act 12 of 2024 wef 24/01/2025] ( b ) [ Deleted by Act 12 of 2024 wef 24/01/2025 ] ( c ) a reference to the voting power in the licensed financial adviser is a reference to the total number of votes that may be cast in a general meeting of the licensed financial adviser. [1/2009] (7) Any person who contravenes subsection (2) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $75,000 or to imprisonment for a term not exceeding 3 years or to both. [1/2009] (8) Any person who fails to comply with a condition imposed under subsection (4) (including a condition added to or varied under subsection (4A)) shall be guilty of an offence. [57A [1/2009] [Act 12 of 2024 wef 24/01/2025]


document_id: faa-2001
provision_ref: s66
chapter: PART 5 - POWERS OF AUTHORITY
section: 66
title: Objection to control of licensed financial adviser
content:
66. —(1) The Authority may serve a written notice of objection on — ( a ) any person required to obtain the Authority’s approval or who has obtained the approval under section 65; or ( b ) any person who has effective control of the licensed financial adviser, if the Authority is satisfied that — ( c ) any condition of approval imposed on the person under section 65(4) (including a condition that has been added to or varied under section 65(4A)) has not been complied with; [Act 12 of 2024 wef 24/01/2025] ( d ) the person is not or ceases to be a fit and proper person to have effective control of the licensed financial adviser; ( e ) having regard to the likely influence of the person, the licensed financial adviser is not able to or is no longer likely to conduct its business prudently or to comply with the provisions of this Act or any direction made thereunder; ( f ) the person does not or ceases to satisfy such criteria as may be prescribed; ( g ) the person has provided false or misleading information or documents in connection with an application under section 65; or ( h ) the Authority would not have granted its approval under section 65 had it been aware, at that time, of circumstances relevant to the person’s application for such approval. [1/2009] [Act 12 of 2024 wef 24/01/2025] (2) The Authority must not serve a notice of objection on any person without giving the person an opportunity to be heard, except in the following circumstances: ( a ) the person is in the course of being wound up or otherwise dissolved or, in the case of an individual, is an undischarged bankrupt whether in Singapore or elsewhere; ( b ) a receiver, a receiver and manager, a judicial manager or an equivalent person has been appointed, whether in Singapore or elsewhere, in relation to or in respect of any property of the person; ( c ) a prohibition order has been made, and remains in force, against the person; [Act 12 of 2024 wef 24/01/2025] ( d ) the person has been convicted, whether in Singapore or elsewhere, of any offence involving fraud or dishonesty or the conviction for which involved a finding that the person had acted fraudulently or dishonestly. [1/2009] (3) The Authority must, in any written notice of objection, specify a reasonable period within which the person to be served the written notice of objection must — ( a ) take such steps as are necessary to ensure that the person ceases to have effective control of the licensed financial adviser; or [Act 12 of 2024 wef 24/01/2025] ( b ) comply with such other requirements as the Authority may specify in the written notice of objection. [1/2009] [Act 12 of 2024 wef 24/01/2025] (4) Any person served with a notice of objection under this section must comply with the notice. [1/2009] (5) Any person who contravenes subsection (4) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $75,000 or to imprisonment for a term not exceeding 3 years or to both. [57B [1/2009]


document_id: faa-2001
provision_ref: s67
chapter: PART 5 - POWERS OF AUTHORITY
section: 67
title: Power of Authority to issue written directions
content:
67. —(1) The Authority may, if it thinks it necessary or expedient in the interests of the public or a section of the public or for the protection of investors or policy owners, issue written directions, either of a general or specific nature, to — ( a ) any licensed financial adviser; ( b ) any person exempt under section 20 or 130; ( c ) any representative; ( d ) any supervisor of a financial adviser; or ( e ) any class of the persons referred to in paragraph ( a ), ( b ), ( c ) or ( d ), to comply with such requirements as the Authority may specify in the written directions, or for any other purpose. [1/2009; 35/2012; 18/2015] [Act 12 of 2024 wef 30/08/2024] (2) Without limiting subsection (1), written directions may be issued — ( a ) with respect to — (i) the standards to be maintained by — (A) a licensed financial adviser; (B) any person exempt under section 20 or 130; or (C) any representative, in the conduct of his or her business, including the provision of any financial advisory service to any person outside Singapore and the duties to be undertaken when making recommendations to clients in respect of investment products; (ii) the standards to be maintained by any supervisor of a financial adviser in the conduct of the supervisor’s functions and duties; (iii) the type and frequency of financial returns and other information to be submitted to the Authority; (iv) the qualifications (including educational qualifications), experience, expertise or training of representatives, supervisors or officers (including the chief executive officer and any director) of a licensed financial adviser or an exempt financial adviser mentioned in section 20; and (v) the procedure for the conduct of disciplinary control of licensed financial advisers, exempt financial advisers and their representatives; ( b ) where any person is contravening, is likely to contravene or has contravened, any provision of this Act, to require the person — (i) to comply with that provision or to cease contravention of that provision; (ii) to take such action necessary to enable the person to conduct his or her business in accordance with sound principles; (iii) where the person is a corporation, to remove any of its directors; (iv) to remove any person whom the Authority considers unfit to be associated with him or her; (v) to take action as to the disposition or recovery of assets; (vi) to take any available step for the recovery of sums which appear to the Authority to have been improperly paid; or (vii) to make good any default committed by him or her; or ( c ) for any other purpose specified in this Act. [1/2009; 18/2015] (3) It is not necessary to publish any written direction issued under subsection (1) in the Gazette . [35/2012] (4) The Authority may at any time vary, rescind or revoke any written direction issued under subsection (1). (5) Any person who fails to comply with any requirement specified in a written direction issued under subsection (1) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $25,000 and, in the case of a continuing offence, to a further fine not exceeding $2,500 for every day or part of a day during which the offence continues after conviction. (6) In this section, “written direction” includes a circular or notice. [58 68. [ Repealed by Act 18 of 2022 wef 31/07/2024 ] 69. [ Repealed by Act 18 of 2022 wef 31/07/2024 ] 70. [ Repealed by Act 18 of 2022 wef 31/07/2024 ] 71. [ Repealed by Act 18 of 2022 wef 31/07/2024 ]


document_id: faa-2001
provision_ref: s72
chapter: PART 5 - POWERS OF AUTHORITY
section: 72
title: Records to be kept by Authority
content:
72. —(1) The Authority must keep in such form as it thinks fit records of licensed financial advisers setting out the following information of each of them: ( a ) its name; ( b ) the address of the principal place of business at which it carries on the business in respect of which the licence is held; ( c ) the type or types of financial advisory service and investment product to which its licence relates; ( d ) where the business is carried on under a name or style other than the name of the holder of the licence, the name or style under which the business is carried on; ( e ) officers removed by it from office or employment on the direction of the Authority under section 64; and ( f ) such other information as may be prescribed. [1/2009] (2) The Authority must also keep in such form as it thinks fit records on persons against whom prohibition orders had been made under section 68 as in force immediately before the date of commencement of section 200(1)( b ) and (2) to (7) of the Financial Services and Markets Act 2022 or as continued by section 217(2) of that Act. [1/2009] [Act 18 of 2022 wef 31/07/2024] (3) The Authority may publish the records mentioned in subsections (1) and (2), or any part of them in such manner as it considers appropriate. [1/2009] (4) Any person may, upon payment of such fee as may be prescribed, in the manner specified by the Authority, inspect and take an extract from the records established under subsection (1) or (2), and any such extract, certified by the Authority to be a true copy, is admissible as prima facie evidence of the matter stated therein in any legal proceedings. [63 [1/2009] [Act 12 of 2024 wef 24/01/2025]


document_id: faa-2001
provision_ref: s73
chapter: PART 5 - POWERS OF AUTHORITY
section: 73
title: Records and public register of representatives
content:
73. —(1) The Authority must keep in such form as it thinks fit records of the following information of each appointed representative and provisional representative: ( a ) his or her name; ( b ) the name of his or her current principal and every past principal (if any); ( c ) the current and past types of financial advisory service provided by him or her, and the date of commencement and cessation (if any) of such service; ( d ) where the business of the principal for which he or she acts is carried on under a name or style other than the name of the principal, the name or style under which the business is carried on; ( e ) disciplinary proceedings or other action taken by the Authority against him or her and published under section 77; and ( f ) such other information as may be prescribed. [1/2009] (2) The information mentioned in subsection (1) need only be kept for such period of time as the Authority considers appropriate. [1/2009] (3) The Authority may reproduce the records mentioned in subsection (1) or any part of them in a public register of representatives which must be published in such manner as it considers appropriate. [63A [1/2009]


document_id: faa-2001
provision_ref: s74
chapter: PART 5 - POWERS OF AUTHORITY
section: 74
title: Codes, guidelines, etc., by Authority
content:
74. —(1) The Authority may issue, and publish by notification in the Gazette or in any other manner it considers appropriate, such codes, guidelines, policy statements, practice notes and no‑action letters as it considers appropriate for providing guidance — ( a ) in furtherance of its regulatory objectives; ( b ) in relation to any matter relating to any of the functions of the Authority under this Act; or ( c ) in relation to the operation of any of the provisions of this Act. (2) The Authority may, at any time, amend or revoke the whole or any part of any code, guideline, policy statement, practice note or no‑action letter issued under this section. (3) Where amendments are made under subsection (2) — ( a ) the other provisions of this section apply, with the necessary modifications, to such amendments as they apply to the code, guideline, policy statement, practice note or no‑action letter; and ( b ) any reference in this Act or any other written law to the code, guideline, policy statement, practice note or no‑action letter, however expressed, is, unless the context otherwise requires, a reference to the code, guideline, policy statement, practice note or no‑action letter as so amended. (4) Any person who fails to comply with any of the provisions of a code, guideline, policy statement or practice note issued under this section that applies to him or her does not of itself render that person liable to criminal proceedings, but any such failure may, in any proceedings, whether civil or criminal, be relied upon by any party to the proceedings as tending to establish or negate any liability which is in question in the proceedings. (5) The issue by the Authority of a no‑action letter does not of itself prevent the institution of any proceedings against any person for the contravention of any provision of this Act. (6) Any code, guideline, policy statement or practice note issued under this section may be of general or specific application, and may specify that different provisions thereof apply to different circumstances or provide for different cases or classes of cases. (7) To avoid doubt, any code, guideline, policy statement, practice note or no‑action letter issued under this section is not subsidiary legislation. (8) In this section, a no‑action letter means a letter written by the Authority to a person to the effect that, if the facts are as represented by the person, the Authority will not institute proceedings against the person in respect of a particular state of affairs or particular conduct. [64


document_id: faa-2001
provision_ref: s75
chapter: PART 5 - POWERS OF AUTHORITY
section: 75
title: Appointment of assistants
content:
75. —(1) Subject to subsection (2), the Authority may appoint any person to exercise any of its powers or perform any of its functions or duties under this Act, either generally or in any particular case, except the power to make subsidiary legislation. (2) The Authority may appoint one or more of its officers to exercise the power to grant an exemption to any person (not being an exemption granted to a class of persons) under a provision of this Act specified in the Third Schedule, or to revoke any such exemption. [Act 5 of 2025 wef 09/03/2025] (2A) An appointment under subsection (2) must be published in the Gazette . [Act 5 of 2025 wef 09/03/2025] (3) Any person appointed by the Authority under subsection (1) is deemed to be a public servant for the purposes of the Penal Code 1871. [65


document_id: faa-2001
provision_ref: s76
chapter: PART 5 - POWERS OF AUTHORITY
section: 76
title: General provisions as to winding up
content:
76. —(1) The persons who may apply under the Insolvency, Restructuring and Dissolution Act 2018 for the winding up of the affairs of a licensed financial adviser, or for the continuance of the winding up of the affairs of a licensed financial adviser subject to the supervision of the court, include the Authority. [40/2018] (2) The Authority may, in accordance with the provisions of the Insolvency, Restructuring and Dissolution Act 2018, apply for the winding up of a licensed financial adviser if the licensed financial adviser has contravened any of the provisions of this Act. [40/2018] (3) The Authority shall be a party to any proceedings under the Insolvency, Restructuring and Dissolution Act 2018 relating to the winding up of the affairs of a licensed financial adviser. [40/2018] (4) The liquidator in any winding up referred to in subsection (3) must give the Authority such information as it may, from time to time, require about the affairs of the licensed financial adviser. (5) Any liquidator who contravenes subsection (4) shall be guilty of an offence. [66


document_id: faa-2001
provision_ref: s77
chapter: PART 5 - POWERS OF AUTHORITY
section: 77
title: Power of Authority to publish information
content:
77. The Authority may, from time to time and in such form or manner as it considers appropriate, publish information relating to all or any of the following: ( a ) the lapsing, revocation or suspension of the licence of any person under section 15; ( b ) the removal of any officer under section 64; ( c ) the making of any prohibition order against any person under section 68 as in force immediately before the date of commencement of section 200(1)( b ) and (2) to (7) of the Financial Services and Markets Act 2022 or as continued by section 217(2) of that Act; [Act 18 of 2022 wef 31/07/2024] ( d ) the acceptance by any person of an offer to compound an offence under section 117; ( e ) the reprimand of any person under section 125; ( f ) the revocation or withdrawal of any exemption granted under this Act; ( g ) the conviction of any person for any offence under this Act; ( h ) the conviction of any licensed financial adviser for any offence, whether in Singapore or elsewhere; ( i ) any other action as may have been taken by the Authority against any person under this Act, and any other information as the Authority may consider necessary or expedient to publish in the public interest. [67 [1/2009]


document_id: faa-2001
provision_ref: s78
chapter: PART 6 - SUPERVISION AND INVESTIGATION
section: 78
title: Self-incrimination
content:
78. —(1) A person is not excused from disclosing information to the Authority, pursuant to a requirement made of him or her under Division 1, 2 or 2A, on the ground that the disclosure of the information might tend to incriminate him or her. [Act 12 of 2024 wef 24/01/2025] (2) Where a person claims, before making a statement disclosing information that he or she is required to disclose by a requirement made of him or her under Division 1, 2 or 2A, that the statement might tend to incriminate him or her, that statement is not admissible in evidence against him or her in criminal proceedings. [68 [1/2009] [Act 12 of 2024 wef 24/01/2025]


document_id: faa-2001
provision_ref: s79
chapter: PART 6 - SUPERVISION AND INVESTIGATION
section: 79
title: Saving for advocates and solicitors
content:
79. —(1) Divisions 1, 2 and 2A do not — ( a ) compel an advocate and solicitor to disclose or produce a privileged communication, or a document or other material containing a privileged communication, made by or to the advocate and solicitor in that capacity; or ( b ) authorise the taking of any such document or other material which is in the possession of the advocate and solicitor. [Act 12 of 2024 wef 24/01/2025] (2) An advocate and solicitor who refuses to disclose the information or produce the document or other material mentioned in subsection (1) is nevertheless obliged to give the name and address (if he or she knows them) of the person to whom, or by or on behalf of whom, that privileged communication was made. (3) Any advocate and solicitor who contravenes subsection (2) shall be guilty of an offence. [69 Division 2 &#x2014; Inspection Powers of Authority


document_id: faa-2001
provision_ref: s80
chapter: PART 6 - SUPERVISION AND INVESTIGATION
section: 80
title: Inspection by Authority
content:
80. —(1) The Authority may from time to time inspect, under conditions of secrecy, the books of — ( a ) a licensed financial adviser; ( b ) an exempt financial adviser in respect of its business of providing any financial advisory service; or ( c ) a representative. [1/2009] (2) For the purposes of an inspection under this section — ( a ) a person referred to in subsection (1), and any person who is in possession of the books, must produce such books to the Authority and give such information or facilities as may be required by the Authority; ( b ) a person referred to in subsection (1) must procure that any person who is in possession of its books produce the books to the Authority and give such information or facilities as may be required by the Authority; and ( c ) the Authority may — (i) make copies of, or take possession of, any of such books; (ii) use, or permit the use of, any of such books for the purposes of any proceedings under this Act; and (iii) retain possession of any of such books for so long as is necessary — (A) for the purposes of exercising a power conferred by this section (other than subsection (4)); (B) for a decision to be made on whether or not proceedings should be commenced under this Act in relation to such books; or (C) for such proceedings to be commenced and carried on. [1/2009] (3) No person is entitled, as against the Authority, to claim a lien on any of the books, but such a lien is not otherwise prejudiced. (4) While the books are in the possession of the Authority, the Authority — ( a ) must permit another person to inspect at all reasonable times such (if any) of the books as the other person would be entitled to inspect if they were not in the possession of the Authority; and ( b ) may permit another person to inspect any of the books. [1/2009] (5) The Authority may require a person who produced any book to the Authority to explain, to the best of his or her knowledge and belief, any matter about the compilation of the book or to which the book relates. (6) Any person who fails, without reasonable excuse, to comply with subsection (2) or a requirement of the Authority under subsection (5) shall be guilty of an offence and shall be liable on conviction to a fine not exceeding $50,000 or to imprisonment for a term not exceeding 2 years or to both and, in the case of a continuing offence, to a further fine not exceeding $5,000 for every day or part of a day during which the offence continues after conviction. [70


