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MLC714 Simply Advisers Ltd. Assignment Sample


Financial Advice Regulation - Question 1 Daniella is a financial adviser. She is an authorised representative of Advisory Ltd. In the course of her work, she is approached by Tim. Tim is a successful property developer and has a sum of money that he would like to invest outside of his property development business. However, outside of his own business of buying land and building houses, Tim has almost no knowledge about investing. In their …

MLC714 Legal Requirements Imposed by Regulators of The Financial Advice Industry Assignment Sample


Financial Advice Regulation 1. Victor Provided Tim And Nancy With Their Fees Disclosure Statement (FDS) On 1 August 2019 A Fee Disclosure Statement (FDS) is a yearly statement from an adviser giving personal advice to trade clients. It provides facts about the previous 12 months of an ongoing fee arrangement. Fee recipients must give clients an FDS on an annual basis, which discloses information about the previous 12 months of their ongoing…

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