execution-related advice definition
execution-related advice means advice provided which is solely incidental to the execution activities of a dealer with no discrete fee charged by the dealer for the advice rendered;
execution-related advice means advice that is provided by a dealer, or a trading representative of the dealer, to a client of the dealer where —
execution-related advice means advice provided by a person exempt from holding a financial adviser’s licence under section 23(1)(a), (b) or
More Definitions of execution-related advice
execution-related advice means advice provided by a person exempt from holding a financial adviser’s licence under section 23(1)(a), (b) or (d) of the Act or any of its representatives which is solely incidental to the execution activities of such person and where no discrete fee is charged for the advice rendered;
execution-related advice means advice provided which is solely incidental to the execution activities of the persons specified in paragraph 2A(b) with no discrete fee charged by these persons for the advice rendered;
execution-related advice means advice which is provided to a client by a dealer or a trading representative acting on behalf of a dealer, as the case may be –
execution-related advice means advice provided by a person exempt from holding a financial adviser’s licence under section 23(1)(a), (b) or (d) of the Act or any of its representatives which is solely incidental to the execution activities of such person and where no discrete fee is charged for the advice rendered. “Execution activities” means any or all of the following activities as defined in section 2(1) of the SFA:(a) dealing in securities (other than collective investment scheme) quoted on a securities exchange, overseas securities exchange or recognized market operator; and(b) trading in futures contracts.
execution-related advice means advice provided by the broker which is solely incidental to its commodity futures broking activities, as defined in Notice FAA- N01 and Notice FAA- N03.