Download Butterworths Financial Services Compliance Manual by Neville Russell PDF

By Neville Russell

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Extra resources for Butterworths Financial Services Compliance Manual

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7 No risk warning needs t o be given where communication is made or the transaction is effected through an Authorised Third Party. That is defined as 'a person authorised under the Act otherwise than by virtue of a Certificate issued by the Institute or an exempted person who, in engaging in the activity in question, is acting in the course of a business in respect of which he is exempt'. In that situation, provided the Authorised Third Party enters into its own customer agreement with a client, it can be assumed that the third party will discharge any obligations to give best advice, administer risk warnings and to ensure best execution.

1) Paragraph 12 and 13 above do not apply to the acquisition or disposal of, or to anything done for the purposes of the acquisition or disposal of, shares in a private company, and paragraph 15 above does not apply to advice given in connection with the acquisition or disposal of such shares, if:- 41 Part 1 - Appendices (a) the shares consist of or include shares carrying 75 per cent, or more, of the voting rights attributable to share capital which are exercisable in all circumstances at any general meeting of the company; or (b) the shares, together with any already held by the person acquiring them, carry not less than that percentage of those voting rights; and (c) in either case, the acquisition and disposal is, or is to be, between parties each of whom is a body corporate, a partnership, a single individual or a group of connected individuals.

1 It is important that at an early stage in dealing with a client it is established how much experience he may have of finance and investment. 2 (a) in helping to establish that a particular type of investment is suitable for a particular client; (b) to determine what level of risk warning should be given to the client when recommending a particular type of investment. Client categories of risk There are dangers in categorising individuals based on your perception of their understanding of the financial markets and the risks involved in them.

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