Authorised Give Investment Advice

THE MRP FUND NO.1 LP - Lanner Capital
Curzon is not authorised to give any investment advice to individual investors. If you require such advice we would recommend you contact your Financial Adviser. This promotion is not an invitation to invest and is intended only for authorised and exempt fi rms and professional advisers ... Access Doc

CORPORATE CLIENT INVESTMENT PROFILE Declaration And ...
CORPORATE CLIENT INVESTMENT PROFILE Name of Corporation : _____ Trading Account No and that I am not generally authorised to give any advice/recommendation to the said client on behalf of UOB Kay Hian Pte Ltd. ... Doc Retrieval

Primary Disclosure Statement (Authorised Financial Adviser)
(Authorised Financial Adviser) Name: Hans Peter Tetzlaff FSP number  Discretionary investment management services these things before I give you advice and/or provide a service or, if that is not practicable, ... Fetch This Document

Secondary Disclosure Statement (Authorised Financial Adviser)
Secondary Disclosure Statement (Authorised Financial Adviser) Name and registration number of Authorised Financial Adviser: I have been a financial adviser for 15 years and give financial and investment planning advice. I commenced work in the financial adviser industry in 1996, ... Retrieve Full Source

Form Primary Disclosure Statement (Authorised Financial Adviser)
Give financial advice Provide investment planning services When I do this, I will be able to give you advice/provide a service about— As an Authorised Financial Adviser, I must comply with the Code of Professional Conduct for Authorised Financial Advisers. I ... Doc Viewer

The Guaranteed Low Risk Income Fund, Series 1
The Asset Manager, is not authorised or regulated by the FSA or any other regulatory body and is not authorised to give investment advice or undertake any other regulated activities. THE LIMITED PARTNERSHIP AND THE EXEMPT UNIT TRUST WILL EACH CONSTITUTE AN UNREGULATED COLLECTIVE INVESTMENT SCHEME FOR ... Retrieve Doc

Exempt Regulated Activities Registration - ACCA | The ...
Can I give advice about various borrowing options? If you are eligible for the DPB regime you can advise on the factual terms and point out risks, but this “Authorised to undertake investment business services in Ireland by the Association of Chartered ... Get Doc

Are You Dealing With An Authorised Financial Adviser? WHAT ...
Authorised Financial Adviser 027 522 5558 karen@kbfinancial.co.nz Michelle Jones Financial Adviser (AFA) enabling me to give advice that relates to investments. This is a requirement of any form of investment advice and is not AFA, they are ... Fetch Content

Xenophon Hellenica Book 3 - Ancient / Classical History ...
Not one of them can conceal the delight it would give him if he might eat up every at least," replied Tithraustes, "while awaiting advice from Lacedaemon, withdraw into the territory of Pharnabazus [12] That vote was not authorised by the state of Thebes. It was the ... Read Article

Financial Advisers And Passporting Factsheet
If you are an authorised firm that wishes to opt into MiFID then we would normally expect you to submit a Variation of Permission (VOP) • By opting into MiFID in order to give investment advice to clients in another EEA state, we expect your firm will become an ‘exempt CAD firm’. ... Retrieve Content

A Guide To Our Financial Services - Westpac - Australia's ...
BTIM (RE) is also authorised by its AFSL to underwrite interests in managed investment schemes and an issue of securities. licensees who give retail investment advice and life insurance. Financial Industry Complaints Service PO Box 579 Collins Street West Melbourne VIC 8007 ... Fetch This Document

Although We Are authorised To Do So We Will Not give advice ...
Moneyworld is an Independent Financial Adviser and is authorised as an investment intermediary in respect of, collective investments, pension funds, life assurance, ISA's and Although we are authorised to do so we will not give advice on any business transacted via the Internet. ... Read Document

FREE Job Posting At RIMS! - Business Insurance
Our Company, Authorised Software Reseller, any advice? March 20, 2010 at 1:50 am (26) Business Loans, Car Loan, Refinance, Home Improvement, Investment Loan, Auto Loan, Debt Consolidation, Line of Credit, Mortgage, ... Read Article

Trustee Act 2000 - Wikipedia, The Free Encyclopedia
The Act covers five areas of trust law: the duty of care imposed upon trustees, trustees' power of investment, the power to as "advice of a person who is reasonably believed by the trustee to be qualified to give it by his ability in and practical The advice must be sought ... Read Article

Why Could New Direction's Alternative investments Be More ...
It is important that potential investors carry out their own research and get independent advice where necessary. Steve Devan and New Direction Wealth Management Ltd are not authorised by the FSA to give financial advice. 2:07 Going Ann Barnhardt-Alternative Investment, ... View Video

AUTHORISED FINANCIAL ADVISERS’ CODE COMMITTEE
(a) give financial advice in relation to a category 1 product; or (b) make an investment management decision [as contemplated under the Supplementary ... Visit Document

Asset Land Inc Please Quote Reference ALG
The Asset Group is not authorised to give investment advice or offer regulated investment products to the public. Asset L.I Inc and the Asset Group offers parcels of land for sale. ... Access Full Source

Legal advice - Wikipedia, The Free Encyclopedia
However, if it is provided by a lawyer or another person authorised by one of the front line legal services regulators, then this activity is included within their regulatory reach. Legal advice is distinguished from legal information which is the reiteration of legal fact. ... Read Article

Primary Disclosure Statement (Authorised Financial Adviser)
Investment-linked contract of insurance ), these things before I give you advice and/or provide a service or, if that is not practicable, Insurance Advice Although I am authorised to do so, I do not advise clients on insurance. ... Return Document

PRIMARY DISCLOSURE STATEMENT Authorised Financial Adviser (AFA)
• Financial Advice • Investment Planning Services When I do this, I will be able to give you advice about— As an Authorised Financial Adviser, I must comply with the Code of Professional Conduct for Authorised Financial Advisers. ... Read Content

Qrops - YouTube
Better flexibility regarding investment however take advice about when to transfer the fund, and whether it is a good moment from the a good QROPS adviser can assess an individual's pension and give information about how it will be affected. Finally, you need to consider ... View Video

Authorised Representative Financial Services Guide
General advice warning The authorised representative can give you general product information to help you decide but cannot provide you with personal to interests in managed investment schemes, You can give the authorised representative instructions by telephone, mail, ... Document Viewer

Retail Distribution Review Newsletter - Financial Services ...
Paraplanner, you are not authorised to give retail investment advice. If you give a personal recommendation or promote a retail investment product you must comply with the RDR rules, and therefore have to meet all the requirements. The ... Read More

IQE Plc : Acquisition Of Kopin Wireless For $75 Million, Placing To Raise £16.5 Million And Trading Update
THE INFORMATION CONTAINED HEREIN IS RESTRICTED AND IS NOT FOR RELEASE, PUBLICATION OR DISTRIBUTION, DIRECTLY OR INDIRECTLY, IN WHOLE OR IN PART, IN, INTO OR FROM THE UNITED STATES, CANADA, AUSTRALIA, NEW ... Read News

Ritaj
UKCIG is not authorised to give investment advice. For your protection, telephone calls may be monitored and recorded. Issued by: UKCIG Real Estate Brokers (LLC), PO Box 90807, Dubai, UAE Toll Free: 800 UKCIG (85244). Tel: +971 (0)4 4371600 ... Read Document

Corporate - Channel Islands Law Firm: Offshore (Guernsey ...
• authorised investment schemes. The designated manager of an authorised fund must give written notice forthwith to the GFSC of: 1. a proposed material change in the constitutive documents or the For further information or professional advice ... Access Doc

What Do Guarantees Mean In Alternative investments? By New ...
Steve Devan and New Direction Wealth Management Ltd are not authorised by the FSA to give financial advice. but refer any interested clients to an FSA-authorised firm for that purpose. Category Howto & Style. 9:51 Alternative Investment Presentation 1.wmv by Mark Skeels 609 views; ... View Video

Independence Wealth Management - Wikipedia, The Free Encyclopedia
IWM is authorised by the United Kingdom Financial Services Authority permission to meet and give 'investment advice' to individuals in most EU countries. Such advice given within Jersey is permitted under the authority of an Financial Supervision Commission (FSC) exemption. ... Read Article

Elite Webb Capital Smaller Companies Income And Growth Fund
Combining investment in high coupon convertible loans and ordinary shares in established Webb Capital is not authorised to give advice, if you are in any doubt as to the suitability of an investment, you should seek independent financial advice. ... Fetch Here