Investment Advice Licence

GUIDELINES AND CONDITIONS FOR LICENCE UNDER THE FOREIGN ...
You should therefore obtain independent advice on whether you are considered a foreign investor for the purposes of the Foreign Investment Act, Chap.70:07 A licence granted under the Foreign Investment Act, Chap. 70:01 is not a form of ... Document Retrieval

Business Name Old Mutual Life Assurance Company (SA) (FSP 26 ...
International investment expertise and financial advice. FAIS Licence Licensed Entity Old Mutual Life Assurance Company (SA) Ltd Licence Subcategories (Incl. Advice and intermediary service applicability) Long-term Insurance: Category A ... Access Document

Collas Day Commercial Investment Funds In Guernsey
Such as investment management or advice, administration and custody. In addition, generally require a POI licence. 5.2 An open-ended fund must have a Guernsey-resident administrator (called the designated manager) and custodian trustee (the designated trustee). The designated trustee must ... Access Doc

AFS Licence No. 234590 Financial Services Guide And Statement ...
Licence (“AFSL”) authorising it to provide a range of financial services including estate and trustee Where we provide investment advice to you, we will s of your personal profile which includes details of your investment objectives, financial ... Get Content Here

Daily Responsibilities Of Real Estate Agents - Real Estate ...
Real Estate Agent Advice - Is Real Estate For You? Serving Buyers of Real Estate; Real Estate Seller Services; Related Articles. Top Ten Investment Calculations; Working With the Web Second Home Buyer; How to Get Good Web Site Content; Free Online Office Tools; ... Read Article

Securities Commission 3 Persiaran Bukit Kiara Bukit Kiara ...
An investment adviser’s licence granted under the SIA and who is authorised to carry on the business of advising others concerning securities. An investment adviser’s licence granted or investment advice, as the case may be, on the date the CMSA takes ... Retrieve Here

Norwich Pharmacal Order - Wikipedia, The Free Encyclopedia
[2003] one of the first Norwich Pharmacal orders against a online chat room operator, the investment advice company Motley Fool, and ruled that "Norwich Pharmacal does not give claimants a general licence to fish for information that will do not more than potentially assist them to ... Read Article

Study On Investment Advisers And Broker-Dealers
Investment advice about securities to retail customers that is consistent with the standard that currently applies to investment advisers. The recommendations also include suggestions for considering harmonization of the broker-dealer and investment adviser ... Content Retrieval

Investment Adviser Registration And Regulation
Providing tailored investment advice for a fee. Hedge Fund Web Sites. Using a web site to provide information about your advisory services is considered as "holding out" and if you are not registered appropriately, you destroy your ability ... View Document

Police Commissioner Warns Against Off-shore 'cold-call ...
Check any company you are discussing investments with has a valid Australian Financial Services Licence at www.moneysmart.gov.au Always seek independent financial advice before making an investment. Category: News & Politics. License: Standard YouTube License 4 likes, 0 dislikes Show more . ... View Video

For Many Of Us, Choosing Which Shares To Buy Or Having To ...
A valid licence from the CMDA. What is an Investment Adviser? If you need investment advice then you can also use the services of a licensed investment adviser. investment advice in relation to specific securities upon request. When giving advice, brokers and ... Retrieve Doc

Practice Information Handbook - Global Body For Professional ...
Licence covers members’ professional activities in consumer credit, credit brokerage, debt adjusting, debt counselling, debt investment advice on your fee note, it may not mean, legally, that you were not paid for that advice. ... View Document

Licence under SIBA. SIBA introduces the following additional requirements for existing BVI private and professional funds previously recognised under  providing investment advice;  providing custodial services with respect to investments; ... Retrieve Doc

Investment or pension advice to prospective or existing clients. Advice provided outwith licence permissions is a breach of the Financial Services Act 2008. 15. Details of why the surrender of an existing plan/policy to invest in ... Document Viewer

Options Made Easy Module 1 Introduction To Options Part 1 ...
And neither purports nor intends to be investment advice. AFS Licence 297069 Securities and Derivatives Dealer. Category: Education. License: Standard YouTube License 0 likes, 0 dislikes Show more . Show less . All Comments (0) ... View Video

Warning This Document Provides A General Outline Of The Legal ...
The investments of the managed investment scheme. (b) Licence The RE of a registered managed investment scheme must have an AFSL with suitable authorisations. advice is advice where the provider has considered one or more of the recipient’s objectives, ... Doc Viewer

Financial Services Authority
Provision of investment advice in relation to these financial instruments; and (c licence firm an investment firm that is not authorised to provide the investment ... Fetch Full Source

Guide To Obtain An Investment Firm Authorisation
Download at: http://www.cysec.gov.cy/licence_members_5_en.aspx Submit the application form at: Cyprus Securities and Exchange Commission 32 Stasikratous Street, 1 st Floor Persons providing investment advice in the course of providing another professional activity not governed by ... Read Here

Licensing: The Scope Of The Licensing Regime: Financial ...
Provide financial product advice will need to hold a licence authorising them to conduct both activities. Are you exempt from holding a independent advice before making investment decisions, and suggests where they can get general information about ... Document Retrieval

Learn Offshore Investing Secrets - Offshore investment - YouTube
Offshore Invetment http://www.Reviews.bz/OffshoreInvestingSecrets.html investment offshore secure offshore investment opportunities offshore specific structure they wish to establish and this advice must be from a suitably Offshore Banking Licence ... View Video

Regulated Activities
As regards to provision of investment advice, a Type 4 licence will not be required if the firm is licensed for Type 1 regulated activity and the advisory activities are wholly incidental to the firm’s dealing activities. However, if a ... Doc Viewer

Additional Information To Media Release 'New Form Of licence ...
• advice on which simple managed investment scheme would be appropriate for and in the Additional Information to Media Release "New form of licence expands access to financial advice" Subject: Replacement for accountants' exemption ... Get Content Here