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FSA regulations - not advising on specific investments but guiding clients to types of investments? |
A few friends of mine are looking to set up an online financial research company. The company would provide bespoke financial research upon request. E.g. a client may want to know what our opinion is on investing in a specific country or advice on how to construct a portfolio. In this case we would lay out all the options in an unbiased and independent manner. We would not advise on specific investments to enter into but would simply give them an idea of their options. Would the company need to be regulated by the FSA and if so what competency exams would each person who is performing a controlled function need to take? Also, each analyst in the company would hold an MSc in Investment Management and the IMC. Appreciate any help!! You need to retain a qualified attorney prior to engaging in this type of endeavour. Securities laws are complex and violations -- even inadvertantly -- are typically dealt with severely. |
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