HND Financial Services Regulatory Framework金融服务业规范.doc

文档介绍：RegulatoryObjectivesoftheAuthorityMarketConfidenceTheFinancialServicesAuthorityisgiventheresponsibilityformaintainingconfidenceintheUnitedKingdom’sfinancialmarketsandexchanges,(用自己的话扩充,不要原封不动写上去)IntermediateCustomersItensuresthattheclienthastheexperienceandunderstandingofinvestmentstoallowhim/hertobeclassedassuchItgivestheclientawrittenwarningthatadviseshim/heroftheprotectionhe/shewilllose,andgiveshim/hertimetoconsidertheimplicationsofbeingclassedthisway,andIthasobtainedtheclient’,-,orofferingoragreeingtomake:Arrangementswithaviewtoanotherpersonbuying,selling,subscribingfor,orunderwritingaparticularinvestment,orArrangementswithaviewtoapersonwhoparticipatesinthearrangementbuying,selling,,orofferingo