Securities Act (Contributory Mortgage Brokers)

• Compliance
• AML/CFT
• Conduct
• Consultation
• Cryptocurrencies
• Designations
• Discretionary Investment Management Services (DIMS)
• Exemptions
  • How to apply
  • Apply for a digital advice exemption
  • Financial advisers exemption guidance
  • Financial reporting exemptions
  • Exemptions - Offers under the FMC Act
  • Current exemption notices
    • Financial Advisers Act exemptions
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    • Trustee and Nominee exemptions
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• Guidance library
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