1. Compliance
  2. Guidance library
  3. Exemption from DIMS licensing requirements for AFAs providing a contingency DIMS

Exemption from DIMS licensing requirements for AFAs providing a contingency DIMS

Page last updated: 1 Jan 2015

Exemption from DIMS licensing requirements for AFAs providing a contingency DIMSThis information sheet explains the exemption from the licensing requirements of the Financial Markets Conduct Act 2013 available to AFAs where Discretionary Investment Management Services (DIMS) are provided to a retail client on a contingency basis.