Sets out requirements for licensing, representative notification and conduct of business, and criteria for exemptions from licensing.
Published Date: 12 June 2018
FAQs on Product Definitions
Provides guidance to financial institutions on how they should classify their products arising from the change in product definitions under the amended SFA and FAA.
Applies to: Dealing in Capital Markets Products , Product Financing , Providing Custodial Services , Exempt Futures Broker , Exempt OTC Derivatives Broker , Exempt Capital Markets Services Entity , Exempt Financial Adviser , Exempt Financial Adviser Serving up to 30 Accredited Investors , Licensed Financial Adviser