Investment Advisor

A person shall hold an Investment advisor licence or being licensed as a representative of an investment advisor by the Financial Services Commission (“FSC”) to:

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• Advise guide, or recommend other persons, or hold himself out to advise, guide or recommend other persons, whether personally or through printed materials or by other means, to enter into securities transactions;

• Manage or hold himself out to manage, under a mandate, whether discretionary or not, a portfolio of securities.

 

No person shall give advice on Corporate finance advisory matters concerning securities transactions.