Qualified Financial Adviser - Case Study Example

The paper "Qualified Financial Adviser" is a perfect example of a finance and accounting case study. All the information availed within this document should be carefully and thoroughly be scrutinized in its entirety. I believe that the information given in this document is true and accurate as of the date and time of the issue. However, kindly note that I do not provide any surety or warranty of the reliability or accuracy of the information or any advice that is given in this document. Note also that except to the extent that is permitted by the law, I accept no responsibility in case of any damage or loss whatsoever that might arise in any way of negligence or reason.

THE LICENSEE AND REPRESENTATIVE

I am an employee of a financial planning company, a representative of a licensed and authorized financial planning company with 3 years of experience as a financial adviser.

I am authorized to provide advice on the following aspects;

• Cash deposit and payment products
• Derivatives limited to securities options contract and warrants
• Life risk insurance products
• Managed investment products
• Retirement savings account products
• Debenture and bond
• Life products-investment life insurance products
• Superannuation wrap accounts
• Superannuation
• Securities (domestic and international)

Important Details

Personal financial advice takes into account your objectives, needs and financial situation.

This Statement of Advice (SOA) records the details of your individual financial advice that I provide to you. It also details the information on which this advice has been based upon. The information touches on the remuneration, and other benefits, any interests, associations or relationships which are critical in influencing the kind of advice made.

If any recommendation is made on this Statement of Advice that might require you to purchase a particular financial product dispose or issue any other product, a product disclosure statement will be issued to you to enable you to arrive at an informed decision regarding that product.

BASIS OF YOUR STATEMENT OF ADVICE (SOA)

The information of your personal circumstances is detailed in this Statement of Advice on the basis of the information that you provided to me on the 2nd July 2013.