MDA - Adviser Policy and Procedures
A step by step guide to MDA advice suitable for MDA providers & External MDA advisers
$949.99 inc GST
MDA - Provider Policy and Procedures
$1,450.00 inc GST
A complete guide to providing an MDA service suitable for MDA providers
This product is currently out of stock
Features:
Detailed guidance and procedures for providing an MDA service, covering:
- What is an MDA service?
- Licence requirements
- FSG and SoA
- Investment program
- MDA contract
- Commencing an MDA service
- Investment management
- Discretionary authority
- Conflicts of interest
- Administration and reporting
- Custody and appointing a custodian
- Terminating an MDA service
- Record keeping
- Insurance
- Monitoring and breach reporting
- User and content guide
Benefits:
- Comprehensive policies and procedures for providing MDA advice
- Covers all the MDA regulatory requirements for MDA providers (other than advising - see the MDA Adviser Policy & Procedures)
- Fully customisable for your business
- Variable clauses to suit different MDA models
- Detailed table of contents ensures easy navigation
- Supports your quality assurance program
- Clear concise and effective language
- Purchase as part of the MDA Kit for a complete MDA compliance system
Use:
- Convenient reference guide
- Customise to create your MDA service procedures
- Suitable for all types of MDA providers. NB: Additional customisation will be required for MDA providers who use an external custodian or non-recourse financial products
