Financial Product Advice. (a) When providing Financial Services to a Client as a Retail Client, the Corporate Authorised Representative must:
(i) provide the Client with a Financial Services Guide in accordance with Division 2 of Part 7.7 of the Act, such Financial Services Guide to be approved in writing by the Licensee;
(ii) in relation to the provision of general advice to Clients that are Retail Clients, provide the Client with a written warning that the advice does not take into account the Client’s objectives, financial situation and needs in accordance with section 949A of the Act;
(iii) in relation to the provision of Financial Services to Clients that are Retail Clients:
(A) comply with the best interest obligations contained in Division 2 of Chapter 7.7A of the Act;
(B) have a reasonable basis for the advice in accordance with section 961G of the Act;
(C) comply with the ongoing fee provisions of the Act as set out in Division 3 of Chapter 7.7A of the Act;
(D) comply with the conflicted remuneration provisions of the Act as set out in Division 4 of Part 7.7A of the Act;
(E) warn the Client in writing if the advice is based on incomplete or inaccurate information in accordance with section 961H of the Act;
(F) provide the Client with a Statement of Advice or another form of advice in accordance with the Act, such advice to be in a form approved by the Licensee; and
(G) provide the Client with a Product Disclosure Statement where required by Part 7.9 of the Act or otherwise required by the Licensee; and
(iv) without limiting this clause 6.5, at all times only provide Financial Services Advice in respect of the Approved Products, unless the advice relates to the disposal of a Financial Product held by a Client.
(b) The Corporate Authorised Representative must not make any representations or provide Financial Product Advice which is materially different:
(i) to the contents of any then current Financial Services Guide, Statement of Advice or Product Disclosure Statement (as the case may be) with respect to the Financial Services; or
(ii) the contents of any research provided to or made available by the Licensee to the Corporate Authorised Representative.
(c) The Corporate Authorised Representative must not engage in the hawking of Financial Products in contravention of the Act.
Financial Product Advice. 2.2.1 Any information or financial product advice that we give you is generic in nature and does not take into account your financial situation, needs or personal objectives. In particular, you acknowledge that we do not provide personal advice or give you advice about whether you should open, hold or close out a Contract. You must consider the appropriateness of entering into a Contract having regard to your own financial situation, needs or personal objectives and obtain your own independent financial advice.
2.2.2 GMT Markets does not provide any advice to you on any tax related matters. GMT Markets encourages you to obtain independent advice from your financial advisor, auditor and/or legal counsel with respect to tax implications of any the Products.
Financial Product Advice. Any information or general financial product advice that we give you is generic in nature and does not take into account your financial situation, needs or personal objectives. You should, before acting on the advice, consider the appropriateness of the advice, having regard to your objectives, financial situation and needs. If our advice relates to the acquisition, or possible acquisition, of a particular Financial Product you should read any relevant Product Disclosure Statement and Agreements.
Financial Product Advice. 6.1 Although AvaTrade issues general market recommendations, these should not be construed as personal recommendations or advice to trade with AvaTrade. As such we are under no obligation to assess the suitability or otherwise of the Customer trading Forex, CFDs, Options and Spread Betting with AvaTrade. All trades entered into by Customer represent an independent decision by the Customer to trade with AvaTrade. You should consider the appropriateness of entering into a Contract having regard to your own financial situation, needs or personal objectives and obtain your own independent financial advice.
Financial Product Advice. 1.1 If we agree to provide you with personal financial product advice, you acknowledge and agree that:
a. on our request, you will provide us with information relating to your Financial Needs, sufficient and necessary for us to make informed financial product recommendations and to comply with statutory obligations;
b. you will notify us of any change in your Financial Needs or any relevant new information as it occurs; and
c. if you do not provide all information relevant to your Financial Needs as required by this clause 1.1:
i. we will not be able to provide a comprehensive analysis of your Financial Needs;
ii. any financial product recommendation made to you may not be appropriate for you; and
iii. you will need to consider whether any recommendation is appropriate in light of your Financial Needs.
1.2 If we agree to provide you with financial product advice, you acknowledge and agree:
a. that in providing you with general financial product advice including in the form of research reports, email bulletins and trading ideas, we do not take into account your Financial Needs; and
b. it is your responsibility, before acting on any financial product advice we provide to you, to consider the appropriateness of the advice having regard to your Financial Needs.
Financial Product Advice. 2.2.1 Any information or financial product advice that we give you is generic in nature and does not take into account your financial situation, needs or personal objectives. In particular, you acknowledge that we do not provide personal advice or give you advice about whether you should open, hold or close out a Contract. You must consider the appropriateness of entering into a Contract having regard to your own financial situation, needs or personal objectives and obtain your own independent financial advice. You are entirely responsible for assessing the features and risks of the Products and seeking your own independent advice about whether they are suitable for you before you trade with us.
2.2.2 Fortune Prime Global does not provide any advice to you on any tax related matters. Fortune Prime Global encourages you to obtain independent advice from your financial advisor, auditor and/or legal counsel with respect to tax implications of any the Products.
Financial Product Advice.
1.1 If we agree to provide you with personal financial product advice, you acknowledge and agree that:
(a) on our request, you will provide us with information relating to your Financial Needs, sufficient and necessary for us to make informed financial product recommendations and to comply with statutory obligations;
(b) you will notify us of any change in your Financial Needs or any relevant new information as it occurs; and
Financial Product Advice. 2.2.1 Any information or financial product advice that we give you is generic in nature and does not take into account your financial situation, needs or personal objectives. In particular, you acknowledge that we do not provide personal advice or give you advice about whether you should open, hold or close out a Contract. You must consider the appropriateness of entering into a Contract having regard to your own financial situation, needs or personal objectives and obtain your own independent financial advice.
2.2.2 ZERO Markets NZ does not provide any advice to you on any tax related matters. ZERO Markets NZ encourages you to obtain independent advice from your financial advisor, auditor and/or legal counsel with respect to tax implications of any the Products.
Financial Product Advice. 2.2.1 Any information or general financial product advice that we give you is generic in nature and does not take into account your financial situation, needs or personal objectives. In particular, we do not give you advice about whether you should open, hold or close out a Contract. You must consider the appropriateness of entering into a Contract having regard to your own financial situation, needs or personal objectives and obtain your own independent financial advice.
2.2.2 CLSA Premium does not provide any advice to you on any tax related matters. CLSA Premium encourages you to obtain independent advice from your financial advisor, auditor and/or legal counsel with respect to tax implications of any the Products.
Financial Product Advice. (a) When providing Authorised Services to a Client as a Retail Client, the Representative must ensure that it: (i) provides the Client with a Financial Services Guide in accordance with division 2 of part 7.7 of the Act, such Financial Services Guide to be approved in writing by the Licensee;
