client's financial situation into account.[20] Fiduciary standard [edit] The anti-fraud provisions of the Investment Advisers Act of 1940 and most state laws impose a duty on Investment...
All financial advisers in the UK must either be authorised or exempt under the Financial Services and Markets Act 2000 . Membership of an IFA Network qualifies an IFA as being exempt from...
" Banks, publishers, and government security advisers are also excepted from the Act. Those who call themselves "financial planners" may, under certain circumstances, be considered...
Provides guidance to financial advisers about the FAA regime and covers topics including licensing requirements, exemptions, representative notification framework, business conduct and reporting re...
The Financial Advisers Register is published on the Moneysmart website and is managed by ASIC.
Monetary Authority of Singapore FINANCIAL ADVISERS ACT (CHAPTER 110) FREQUENTLY ASKED QUESTIONS Disclaimer: The FAQs are meant to provide guidance to the industry on MAS' policy and...
Financial Advisers Act 2001 ; 2020 REVISED EDITION ; This revised edition incorporates all amendments up to and including 1 December 2021 and comes into operation on 31 December 2021 ; [6 August 2002: Section 106 ;
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