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SOA

发布日期:2016-12-16     [assignment代写]      来源于:SOA
导读:SOA is generally required when personal advice is given to retail clients SOA is not required when: the client is not a retail client personal advice is provided to clients having a small amount of funds to invest (S 946AA) ( $15,000) the

SOA is generally required when personal advice is given to retail clients

SOA is not required when:
◦the client is not a retail client
◦personal advice is provided to clients having a small amount of funds to invest (S 946AA) (< $15,000)
◦the advice does not involve the purchase of a financial product and where the entity providing the advice does not receive any remuneration

◦providing further advice to a client

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原文标题:SOA

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