Practice Notes

Published Date: 11 December 2012

Practice Note on the Sale of Investment Products [SFA PN-01]

Provides guidance on customer account review and customer knowledge assessment requirements when dealing in specified investment products with retail customers.

Applies to: Dealing in Capital Markets Products , Securities Crowdfunding , Exempt Capital Markets Services Entity

View Document Practice Note on the Sale of Investment Products [SFA PN-01] (261.7 KB)